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 |
|---|---|---|---|---|---|---|---|---|
| James Anthony Pallitto | 5029533 | 1 | 02/01/2016 | Customer Dispute | Settled | $55,605.50 | $0.00 | See FINRA Report |
| Louis T Dong | 2813204 | 2 | 01/29/2016 | Customer Dispute | Denied | $23,691.30 | $0.00 | See FINRA Report |
| William H Desser | 1496152 | 6 | 01/27/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ryan J Stewart | 4700072 | 1 | 01/27/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Anthony A Puppo | 6085876 | 1 | 01/25/2016 | Customer Dispute | Denied | $95,000.00 | $0.00 | See FINRA Report |
| James Raymond Tilley | 5088462 | 2 | 01/20/2016 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Bin K Nguyen | 4695209 | 1 | 01/20/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Charlie Kim | 5806486 | 2 | 01/19/2016 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Christopher Kherkher | 5770760 | 2 | 01/16/2016 | Customer Dispute | Denied | $17,762.30 | $0.00 | See FINRA Report |
| Jason Olivo | 2860841 | 1 | 01/13/2016 | Customer Dispute | Withdrawn | $9,810.39 | $0.00 | See FINRA Report |