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 |
|---|---|---|---|---|---|---|---|---|
| David Treffry | 4913438 | 1 | 12/04/2020 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Maria M Smith | 4310152 | 2 | 11/02/2020 | Customer Dispute | Denied | $135,464.00 | $0.00 | See FINRA Report |
| Anthony Nicholas Carpenito | 5446992 | 1 | 10/25/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| James D Rosen | 5491456 | 1 | 10/14/2020 | Customer Dispute | Denied | $13,817.00 | $0.00 | See FINRA Report |
| Daniel Tauberg | 5250313 | 1 | 10/02/2020 | Customer Dispute | Denied | $7,945.00 | $0.00 | See FINRA Report |
| Sheel J Desai | 3206930 | 2 | 07/23/2020 | Customer Dispute | Denied | $45,611.00 | $0.00 | See FINRA Report |
| Matan Michael Frenkel | 5779845 | 1 | 07/14/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Borchardt | 5817769 | 1 | 07/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexia L Ball | 4162008 | 1 | 07/06/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Jeremy R Cooke | 4625559 | 2 | 06/08/2020 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |