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 |
|---|---|---|---|---|---|---|---|---|
| Agustin Ponce | 7648232 | 1 | 08/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey B McAleney | 1011501 | 10 | 08/18/1997 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Howard Lee Horowitz | 1630966 | 1 | 05/02/1997 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Robert Michael Densmore | 2233690 | 2 | 04/29/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David M Jernigan | 1236074 | 1 | 04/17/1997 | Customer Dispute | Settled | $2,571,360.00 | $0.00 | See FINRA Report |
| Samuel H Srochi | 1637848 | 3 | 04/02/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michelle Martin Gill | 5006451 | 1 | 03/29/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Caleb Chapman | 5988757 | 1 | 03/28/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John P Kozole | 1862414 | 2 | 03/17/1997 | Employment Separation After Allegations | $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 |