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 |
|---|---|---|---|---|---|---|---|---|
| Roy M Leonard | 1935195 | 3 | 06/27/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nicole Marie Pfeiffer | 5986674 | 1 | 06/25/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Conor Seyda | 5020041 | 3 | 06/24/2013 | Customer Dispute | Denied | $11,635.40 | $0.00 | See FINRA Report |
| Rachelle Dy Andrus | 5682642 | 1 | 06/24/2013 | Customer Dispute | Settled | $8,177.36 | $0.00 | See FINRA Report |
| Valerie Kay Fuller-Howe | 2738966 | 1 | 06/20/2013 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| John M O'Leary | 5387744 | 1 | 06/13/2013 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Heath Johnson | 5580373 | 1 | 06/12/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ernest Albert Newman | 2850881 | 5 | 06/12/2013 | Customer Dispute | Denied | $1,877.47 | $0.00 | See FINRA Report |
| Shawn F Marks | 2673387 | 2 | 06/10/2013 | Customer Dispute | Settled | $9,992.39 | $0.00 | See FINRA Report |
| Conor Seyda | 5020041 | 3 | 06/07/2013 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |