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 |
|---|---|---|---|---|---|---|---|---|
| Terry A Dufrene | 1520028 | 3 | 03/11/2008 | Customer Dispute | Settled | $9,050,000.00 | $0.00 | See FINRA Report |
| Darrell A Clayton | 4367219 | 1 | 03/10/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Frederick Girardeau | 3076427 | 4 | 03/10/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth J Morris | 4017645 | 2 | 03/10/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jimmy Leong | 1486689 | 2 | 03/08/2008 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Brant P Yeager | 3257712 | 1 | 03/07/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jon T Tien | 4478819 | 1 | 03/07/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Sherre Barber | 2340921 | 3 | 03/07/2008 | Customer Dispute | Denied | $1,475,000.00 | $0.00 | See FINRA Report |
| Robert J Blair | 1808088 | 1 | 03/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sheri L Savage | 4266610 | 2 | 03/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |