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 |
|---|---|---|---|---|---|---|---|---|
| Samuel H Srochi | 1637848 | 3 | 04/02/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd A Resnick | 2203962 | 1 | 02/26/1997 | Customer Dispute | Settled | $43,227.00 | $0.00 | See FINRA Report |
| Howard Steven Rowen | 2153771 | 4 | 07/10/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Reece E Musick | 1615735 | 6 | 06/06/1996 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Shawn Fitzgerald O'Neill | 2161470 | 1 | 02/06/1996 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Joel Lawrence Tannebaum | 1676069 | 2 | 03/15/1995 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Philip Pluta | 1491211 | 8 | 02/08/1995 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Barry W Yerger | 1878586 | 1 | 11/18/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James E Foote | 2179162 | 2 | 11/15/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Perillo | 2110241 | 1 | 07/26/1994 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |