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 |
|---|---|---|---|---|---|---|---|---|
| Casey Seng Tear | 7720511 | 3 | 12/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly M Gentleman | 6110123 | 1 | 10/31/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David de Sorbo | 7327039 | 1 | 09/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin Prince | 7286279 | 1 | 08/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Mott | 4755912 | 1 | 07/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barney J Cohen | 2471601 | 1 | 06/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy E Taylor | 5924846 | 1 | 05/15/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina Beth Pacheco | 6924476 | 2 | 05/15/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Hess | 6485001 | 2 | 05/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Tapia | 7642238 | 2 | 03/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |