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 |
|---|---|---|---|---|---|---|---|---|
| Chelsea K Gatlin | 7603964 | 1 | 02/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mohammad Khusro Rashid | 7478081 | 2 | 02/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Littman | 6360412 | 1 | 01/10/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Megan Rodman | 7780185 | 1 | 01/07/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Oliff Klein | 7468538 | 1 | 01/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven C Underwood | 4533006 | 1 | 12/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sue Wai Lee | 5615031 | 1 | 11/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik Michael Moreno | 7480760 | 1 | 11/07/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Rosenfield | 7725936 | 1 | 10/12/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Gerald | 6949629 | 1 | 09/10/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |