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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Diefenthaler | 3110875 | 1 | 03/12/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Vivek Mahajan | 2417802 | 3 | 03/07/2013 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Timothy James O'Mara | 5525485 | 1 | 03/05/2013 | Customer Dispute | Denied | $5,700.00 | $0.00 | See FINRA Report |
| Cheryl Carlson Swanson | 5621408 | 1 | 03/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nisreen Nina Kallabat Byrne | 2223199 | 13 | 02/10/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jimmy Quach | 5585921 | 3 | 02/07/2013 | Customer Dispute | Award / Judgment | $14,101.60 | $0.00 | See FINRA Report |
| Kurt Kleinle | 2472261 | 3 | 01/28/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James J Ng | 4806951 | 2 | 01/25/2013 | Customer Dispute | Denied | $15,613.50 | $0.00 | See FINRA Report |
| Michael Kearney | 3181811 | 1 | 01/25/2013 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Daniele Driscoll | 1040196 | 3 | 01/25/2013 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |