J.P. MORGAN SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 79). Regulatory assets under management: $429.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 148 people.
| Name | Role | Location |
|---|---|---|
| Jeremy Bell | CHIEF COMPLIANCE OFFICER - BROKER DEALER | St Louis, MO |
| MICHAEL CHOI | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | New York, NY |
| Collins Michael | CHIEF FINANCIAL OFFICER | Manchester, NH |
| Schwartz David | CEO, PRESIDENT, DIRECTOR; CO-PRESIDENT AND CO-CHIEF OPERATING OFFICER, DIRECTOR; EVP, DIRECTOR (+1 more) | Newton, MA |
| James Michael Collins | CHIEF FINANCIAL OFFICER | — |
| Patrick Paul Dempsey | TREASURER | — |
| Eric D. Tepper | ELECTED MANAGER | — |
| Roger Klion | CHIEF OPERATING OFFICER | — |
| Brian J Bisesi | ELECTED MANAGER | — |
| Carrie Mccrum | ELECTED MANAGER | — |
| Kevin J Foley | ELECTED MANAGER | — |
| Paul Vienick | ELECTED MANAGER | — |
| David Aidelson | CHIEF LEGAL OFFICER | — |
| Rachid Alaoui Abdallaoui | CEO, CHAIR, ELECTED MANAGER | — |
| Adam F Englander | ELECTED MANAGER | — |
| Matthew D Sable | ELECTED MANAGER | — |
| David S Villwock | CHIEF COMPLIANCE OFFICER - BROKER DEALER | — |
| William Philip Sieg | ELECTED MANAGER | — |
| John E Simmons | ELECTED MANAGER | — |
| Danielle Bartolomei | CHIEF COMPLIANCE OFFICER - BROKER DEALER | — |
| Claudia Jury | ELECTED MANAGER | — |
| BERNSTEIN JEFFREY CARL | CHIEF OPERATIONS OFFICER, DIRECTOR | — |
| CAYNE JAMES ELLIOT | CEO, CHAIRMAN OF THE BOARD, DIRECTOR; PRESIDENT, CEO, DIRECTOR | — |
| EDLOW KENNETH LEWIS | SECRETARY | — |
| GEISMAR BRUCE EDWARD | DIRECTOR; DIRECTOR, COO | — |
Showing 10 of 200 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-07-09 | regulatory | CBOE FUTURES EXCHANGE, LLC ("CFE") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") VIOLATED CFE RULE 410A BY REPORTING INACCURATE OPEN INTEREST IN VARIOUS FUTURES CONTRACTS TO THE OPTIONS CLEARING CORPORATION. | Final | $45K |
| 2026-04-06 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, J.P. MORGAN SECURITIES LLC ("JPMS") CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT, FROM AT LEAST JANUARY 2016 THROUGH APRIL 2020, JPMS FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S RECOMMENDED INVESTMENT STRATEGY FOR SUITABILITY AND HI… | Final | $3.3M |
| 2026-02-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, J.P. MORGAN SECURITIES LLC ("JPMS") CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) FROM MAY 2018 TO JUNE 2024, JPMS SUBMITTED INACCURATE AND INCOMPLETE FORM G-32 FILINGS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD'S ("MSRB") ELECTRONIC MUNICIPAL… | Final | $140K |
| 2025-10-23 | regulatory | COMMODITY EXCHANGE, INC. ("COMEX") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") VIOLATED COMEX RULE 971.A.1 BY FAILING TO MAINTAIN THE TOTAL AMOUNT REQUIRED TO BE ON DEPOSIT IN A SECURED COMMODITY FUTURES TRADING COMMISSION RULE 30.7 ACCOUNT. | Final | $50K |
| 2025-08-26 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, J.P. MORGAN SECURITIES LLC ("JPMS") CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT, FROM JANUARY 1, 2018 THROUGH DECEMBER 30, 2021, JPMS'S SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIA… | Final | $150K |
| 2025-07-11 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, J.P. MORGAN SECURITIES LLC ("JPMS") CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT, FROM JANUARY 2017 TO AT LEAST DECEMBER 2018, JPMS'S SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ASSESS WHETHER ITS… | Final | $350K |
| 2025-04-21 | regulatory | JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN APRIL 2020 AND MARCH 2022, JPMS DID NOT SUBMIT OR SUBMITTED UNTIMELY OR INACCURATE NOTIFICATIONS TO FINRA IN CONNECTION WITH ITS PARTICIPATION IN CERTAIN DISTRIBUTIONS OF SECURITIES SUBJECT TO REGULATION M UNDER THE SECURITIES EXC… | Final | $150K |
| 2025-04-21 | regulatory | JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN DECEMBER 2020 AND JUNE 2021, JPMS DID NOT FILE ONE NOTICE OF INTENT AND DID NOT TIMELY FILE TWO NOTICES OF INTENT IN CONNECTION WITH THREE DISTRIBUTIONS IN VIOLATION OF RULE 104(H)(2) OF REGULATION M UNDER THE SECURITIES EXCHANGE… | Final | $28K |
| 2025-04-21 | regulatory | JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN APRIL 2020 AND JANUARY 2022, JPMS DID NOT FILE OR SUBMITTED UNTIMELY OR INACCURATE NOTIFICATIONS TO AMERICAN IN CONNECTION WITH ITS PARTICIPATION IN CERTAIN DISTRIBUTIONS OF SECURITIES SUBJECT TO REGULATION M UNDER THE SECURITIES… | Final | $102K |
| 2025-04-21 | regulatory | JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN JUNE 2020 AND JANUARY 2022, JPMS DID NOT SUBMIT OR SUBMITTED UNTIMELY OR INACCURATE NOTIFICATIONS TO NATIONAL IN CONNECTION WITH ITS PARTICIPATION IN CERTAIN DISTRIBUTIONS OF SECURITIES SUBJECT TO REGULATION M UNDER THE SECURITIES… | Final | $87K |