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 |
|---|---|---|---|---|---|---|---|---|
| Bart Edwin Shambaugh | 6600063 | 1 | 07/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher La Flam | 2415869 | 4 | 07/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherod-Malik Jamal Davis | 7210146 | 5 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherod-Malik Jamal Davis | 7210146 | 5 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherod-Malik Jamal Davis | 7210146 | 5 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Gilbert | 7570590 | 6 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Rafael Monge | 7877174 | 2 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherod-Malik Jamal Davis | 7210146 | 5 | 06/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mir Ali | 7784826 | 1 | 06/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James John Baker | 5651660 | 1 | 06/23/2021 | Customer Dispute | Denied | $20,000,000.00 | $0.00 | See FINRA Report |