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 |
|---|---|---|---|---|---|---|---|---|
| Alfredo Gonzalez | 7722039 | 4 | 02/02/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Cespedes | 6465964 | 1 | 02/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura S George-Allen | 7242616 | 11 | 01/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Whitehouse | 6184016 | 1 | 01/27/2023 | Customer Dispute | Denied | $71,361.00 | $0.00 | See FINRA Report |
| Tai Ho | 7534552 | 1 | 01/26/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin Brian Kappeler | 5495402 | 1 | 01/25/2023 | Customer Dispute | Denied | $33,393.00 | $0.00 | See FINRA Report |
| Ryan Arel | 7799480 | 1 | 01/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Mario Gonzalez | 5277101 | 1 | 01/23/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Natalie M Barraza | 6126502 | 1 | 01/23/2023 | Customer Dispute | Denied | $78,503.00 | $0.00 | See FINRA Report |
| Andrew Willis Norton | 5532352 | 1 | 01/19/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |