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 |
|---|---|---|---|---|---|---|---|---|
| Ed Wentzheimer | 4444530 | 2 | 03/18/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Sandra Joy Rosenstein | 4651023 | 1 | 03/18/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jennifer Green | 2500050 | 2 | 03/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Goebert | 5236632 | 1 | 03/14/2008 | Customer Dispute | Closed-No Action | $61,000.00 | $0.00 | See FINRA Report |
| Robert Holland | 1404167 | 2 | 03/12/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Stephen P Spratley | 2541637 | 1 | 03/12/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent Serso | 3102567 | 4 | 03/12/2008 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| James Frederick Girardeau | 3076427 | 4 | 03/12/2008 | Customer Dispute | Denied | $6,465.33 | $0.00 | See FINRA Report |
| Ken Chung Yin | 2877684 | 1 | 03/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donna Lynn | 4285924 | 1 | 03/11/2008 | Customer Dispute | Closed-No Action | $8,343.00 | $0.00 | See FINRA Report |