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 |
|---|---|---|---|---|---|---|---|---|
| De Ruan | 7889260 | 1 | 01/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mo W Kahlun | 7608406 | 1 | 01/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| An Le | 7585001 | 8 | 01/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aishya West | 7648279 | 1 | 01/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxsanne D Cannon | 5991264 | 1 | 01/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Quiroz Vazquez | 7684470 | 1 | 12/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Marie Gust | 4003122 | 1 | 12/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shamyia Smith | 7025248 | 1 | 12/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ayala | 7405606 | 2 | 12/24/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean Kemery | 3228444 | 1 | 12/22/2021 | Customer Dispute | Settled | $8,400.00 | $0.00 | See FINRA Report |