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 |
|---|---|---|---|---|---|---|---|---|
| Keith Richard Ward | 4500701 | 4 | 06/28/2011 | Customer Dispute | Settled | $30,630.50 | $0.00 | See FINRA Report |
| Elias Kontos | 4260952 | 2 | 06/27/2011 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Emily Lennox Richardson | 4908645 | 1 | 06/23/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristopher Cerciello | 4802746 | 1 | 06/02/2011 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Frederick Joseph Schultz | 1987284 | 3 | 06/01/2011 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Hans Michael Keden | 1535424 | 1 | 05/11/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Benjamin C Ashkinos | 4554714 | 5 | 04/25/2011 | Customer Dispute | Denied | $6,451.61 | $0.00 | See FINRA Report |
| Jae E Lee | 4309345 | 2 | 04/11/2011 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 04/05/2011 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,100,000.00 | See FINRA Report |
| Todd J Vander Veer | 5136041 | 2 | 04/04/2011 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |