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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Guerrero | 5590561 | 2 | 03/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph J Cosoleto | 2137541 | 2 | 03/15/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Raspa | 2397030 | 1 | 03/10/1999 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Theodore Robert Fisher | 3261685 | 2 | 02/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karen Foley | 5473711 | 1 | 02/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Troy D Stephens | 2886947 | 2 | 01/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Isaiah Deresa | 7395196 | 2 | 01/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Alma | 5367182 | 1 | 12/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eugene G Mosca | 2212786 | 3 | 12/17/1998 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 12/11/1998 | Customer Dispute | Award / Judgment | $750,000.00 | $50,000.00 | See FINRA Report |