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 |
|---|---|---|---|---|---|---|---|---|
| Scott William Soules | 2417927 | 2 | 05/26/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark G Baumgarten | 2835171 | 2 | 05/18/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Tommaso de Nardo | 5042673 | 1 | 05/15/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Block | 4580746 | 6 | 05/12/2009 | Customer Dispute | Settled | $13,336.00 | $0.00 | See FINRA Report |
| Philip Pluta | 1491211 | 8 | 05/12/2009 | Customer Dispute | Closed-No Action | $26,600.00 | $0.00 | See FINRA Report |
| Dorothy J Dembowski | 4902585 | 1 | 05/07/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Charles L Shereff | 1939467 | 2 | 05/06/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jay A Culbertson | 4521222 | 1 | 05/01/2009 | Customer Dispute | Denied | $163,000.00 | $0.00 | See FINRA Report |
| Joseph P Meade | 4491121 | 4 | 04/29/2009 | Customer Dispute | Settled | $166,938.00 | $0.00 | See FINRA Report |
| James Raymond Tilley | 5088462 | 2 | 04/28/2009 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |