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 |
|---|---|---|---|---|---|---|---|---|
| Frank J Renda | 2505766 | 3 | 08/31/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seth Gusow | 2839715 | 2 | 07/28/1998 | Customer Dispute | Denied | $40,309.20 | $0.00 | See FINRA Report |
| Peter J Lally | 1257526 | 2 | 07/17/1998 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Cohen Reagan | 2434620 | 2 | 07/02/1998 | Customer Dispute | Award / Judgment | $125,000.00 | $124,486.00 | See FINRA Report |
| Betsy L Bliss | 847934 | 1 | 06/16/1998 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Philip Pluta | 1491211 | 8 | 04/09/1998 | Customer Dispute | Settled | $16,534.00 | $0.00 | See FINRA Report |
| Allan H Joubert | 2371048 | 3 | 02/05/1998 | Customer Dispute | Closed-No Action | $34,385.00 | $0.00 | See FINRA Report |
| Philip Pluta | 1491211 | 8 | 01/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Salvatore J Farrauto | 2277808 | 2 | 12/23/1997 | Customer Dispute | Settled | $21,510.00 | $0.00 | See FINRA Report |
| James P Siciliano | 2103388 | 1 | 12/15/1997 | Customer Dispute | Denied | $240,000.00 | $0.00 | See FINRA Report |