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 |
|---|---|---|---|---|---|---|---|---|
| Casey Seng Tear | 7720511 | 3 | 12/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter J Lally | 1257526 | 2 | 12/07/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas M Banks | 3027827 | 2 | 11/30/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kimberly M Gentleman | 6110123 | 1 | 10/31/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Thomas | 1523651 | 1 | 10/27/1998 | Customer Dispute | Settled | $7,925.00 | $0.00 | See FINRA Report |
| Seth Gusow | 2839715 | 2 | 10/16/1998 | Customer Dispute | Denied | $5,580.00 | $0.00 | See FINRA Report |
| Sanah Chung | 2002221 | 1 | 09/16/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David de Sorbo | 7327039 | 1 | 09/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher S Boggs | 2108210 | 3 | 09/02/1998 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Joseph J Cosoleto | 2137541 | 2 | 09/01/1998 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |