Our Staff has compiled our research into a database of FINRA Broker Disclosures for Securities America, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Michael Keith Napier | 4811092 | 1 | 03/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Ann Hehir | 735262 | 1 | 03/11/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 6 | 03/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan J Nason | 6191520 | 1 | 02/19/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Robert Hodge | 2220910 | 1 | 02/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Vogt | 4425732 | 6 | 01/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randy Scott Schneider | 2436259 | 10 | 01/05/2021 | Customer Dispute | Denied | $27,360.30 | $0.00 | See FINRA Report |
| Beau Diehl Sheedy | 6363200 | 1 | 11/30/2020 | Customer Dispute | Settled | $18,484.20 | $0.00 | See FINRA Report |
| Gregg Randall Fortune | 2701163 | 9 | 11/16/2020 | Customer Dispute | Closed-No Action | $16,434.60 | $0.00 | See FINRA Report |
| Scott Michael Barber | 4822754 | 3 | 10/30/2020 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |