Our Staff has compiled our research into a database of FINRA Broker Allegations for Adam Thomas Marquardt.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Adam Thomas Marquardt | 5307192 | 9 | 12/14/2023 | Customer Dispute | Pending | $3,300,000.00 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 06/12/2023 | Customer Dispute | Settled | $44,969.80 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 01/23/2023 | Customer Dispute | Settled | $530,000.00 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 01/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 09/27/2022 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 07/21/2022 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 07/21/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Adam Thomas Marquardt | 5307192 | 9 | 07/22/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Adam Thomas Marquardt | 5307192 | 9 | 03/29/2017 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See Allegations |