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 |
|---|---|---|---|---|---|---|---|---|
| Man Tat Tai | 4534776 | 1 | 06/03/2010 | Customer Dispute | Settled | $20,013.60 | $0.00 | See FINRA Report |
| Pierre Louis Follari | 2336453 | 1 | 06/01/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Scott Garfin | 2954319 | 1 | 05/26/2010 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Gordon Maurice Sommer | 734424 | 1 | 05/25/2010 | Customer Dispute | Settled | $38,846.00 | $0.00 | See FINRA Report |
| Laura R Rudolph | 1877204 | 3 | 05/25/2010 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Brian Cohen | 3149512 | 3 | 04/14/2010 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Jeffrey B McAleney | 1011501 | 10 | 04/06/2010 | Customer Dispute | Settled | $94,000.00 | $0.00 | See FINRA Report |
| Kelli L Tate | 5168221 | 1 | 03/26/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan S Sternberg | 2644643 | 1 | 03/25/2010 | Customer Dispute | Closed-No Action | $100,057.00 | $0.00 | See FINRA Report |
| Luc Droal | 1803857 | 2 | 03/20/2010 | Customer Dispute | Denied | $290,000.00 | $0.00 | See FINRA Report |