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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Joseph Schultz | 1987284 | 3 | 05/09/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandi T Graham | 5437870 | 5 | 05/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karie Ann Altvare | 6656955 | 1 | 03/25/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Joseph Broussard | 4968061 | 1 | 03/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Hess | 6485001 | 2 | 03/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Tapia | 7642238 | 2 | 02/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isaac Gregory Vaquera | 5789774 | 1 | 02/15/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell B Paris | 4944668 | 1 | 02/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Fitzgerald O'Neill | 2161470 | 1 | 02/06/1996 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Colleen M Bachman | 6386383 | 1 | 12/29/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |