Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.P. Morgan Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Konrad David Pi | 7017160 | 1 | 11/17/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Shelton | 5686196 | 1 | 09/13/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Lawrence Tannebaum | 1676069 | 2 | 02/18/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Jason Dupont | 4256371 | 3 | 12/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Franklin Lewis Klein | 5591163 | 1 | 11/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rupinder Grewal | 4358904 | 1 | 10/23/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William B Foster | 3081866 | 1 | 09/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph R Mignano | 2694651 | 1 | 08/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zeba M Qazi | 5743320 | 1 | 08/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Sammann | 6428981 | 1 | 07/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |