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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Joy Rosenstein | 4651023 | 1 | 03/18/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jennifer Green | 2500050 | 2 | 03/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ken Chung Yin | 2877684 | 1 | 03/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry A Dufrene | 1520028 | 3 | 03/11/2008 | Customer Dispute | Settled | $9,050,000.00 | $0.00 | See FINRA Report |
| Jimmy Leong | 1486689 | 2 | 03/08/2008 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Brant P Yeager | 3257712 | 1 | 03/07/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jon T Tien | 4478819 | 1 | 03/07/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert J Blair | 1808088 | 1 | 03/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry A Dufrene | 1520028 | 3 | 03/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig M Treitler | 2363131 | 1 | 03/05/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |