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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Schlien | 2651747 | 1 | 05/25/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary R Fournier | 211949 | 10 | 05/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Albert Newman | 2850881 | 5 | 05/21/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph Vessio | 1209784 | 1 | 05/08/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leah Baker | 7518728 | 1 | 05/06/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Marrocco | 1811952 | 3 | 05/02/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Halfon | 2822439 | 3 | 05/02/2001 | Customer Dispute | Award / Judgment | $7,682.98 | $4,000.00 | See FINRA Report |
| James W Taylor | 2305286 | 1 | 05/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ethan K Emma | 2193008 | 4 | 04/13/2001 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Blake Bertea | 2412817 | 2 | 04/12/2001 | Customer Dispute | Settled | $549,614.00 | $0.00 | See FINRA Report |