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 |
|---|---|---|---|---|---|---|---|---|
| Emma Delaney Alexander | 7394914 | 1 | 09/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank N Snyder | 4508535 | 1 | 03/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dong Sung Ham | 6343555 | 1 | 03/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert T Waldbauer | 4465882 | 1 | 01/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Rouns | 7706185 | 4 | 05/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc A Maguire | 4945803 | 1 | 03/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Shellenbarger | 2990367 | 2 | 03/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Horncastle | 3121352 | 1 | 06/29/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vicky Wong | 6803654 | 1 | 05/21/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Orth | 6622729 | 1 | 03/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |