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 |
|---|---|---|---|---|---|---|---|---|
| Ernesto Enrique Soto-Morales | 6767497 | 1 | 03/24/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Kimberly | 7527843 | 2 | 03/21/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc John Zurich | 6016528 | 11 | 02/01/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Nicole Bok | 7474109 | 2 | 01/11/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karla Viviana Ruano | 7846692 | 1 | 12/17/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amanda Allie | 6015527 | 1 | 11/03/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Kimberly | 7527843 | 2 | 10/31/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Matthew Grainda | 7523697 | 1 | 10/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rochelle Marie Gabrielson | 7266777 | 1 | 08/27/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Cook | 7285814 | 1 | 08/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |