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 |
|---|---|---|---|---|---|---|---|---|
| Brad Aaron Thompson | 2804298 | 3 | 11/03/2003 | Customer Dispute | Denied | $197,800.00 | $0.00 | See FINRA Report |
| Nancy H Stewart | 1085029 | 3 | 10/31/2003 | Customer Dispute | Denied | $79,432.00 | $0.00 | See FINRA Report |
| Nisreen Nina Kallabat Byrne | 2223199 | 13 | 10/28/2003 | Customer Dispute | Settled | $6,727.29 | $0.00 | See FINRA Report |
| Barbara A Huiner | 2509639 | 2 | 10/22/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philomena T Lafata | 3195528 | 1 | 10/09/2003 | Customer Dispute | Settled | $3,078.94 | $0.00 | See FINRA Report |
| William H Desser | 1496152 | 6 | 10/03/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mary A H Mortensen | 2734286 | 2 | 09/26/2003 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Isaac Chan | 3040785 | 2 | 09/25/2003 | Customer Dispute | Denied | $9,590.98 | $0.00 | See FINRA Report |
| Randal L Jefferson | 2948564 | 2 | 09/24/2003 | Customer Dispute | Denied | $45,178.00 | $0.00 | See FINRA Report |
| Tarleton E Smith | 2941880 | 1 | 09/15/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |