Our Staff has compiled our research into a database of FINRA Broker Disclosures for City National Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Charles Tyler | 5043331 | 1 | 05/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia J Keough | 2513183 | 1 | 06/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Louis Moscatelli | 2448781 | 1 | 09/04/2014 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Vibhore Bhaskar | 5069772 | 1 | 07/07/2014 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Charles Ray Brown | 5117817 | 1 | 02/16/2010 | Customer Dispute | Settled | $16,527.40 | $0.00 | See FINRA Report |
| Richard George Engbrecht | 4594836 | 1 | 08/13/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Jay Ohanian | 2733949 | 1 | 07/15/2002 | Customer Dispute | Settled | $525,000.00 | $0.00 | See FINRA Report |
| Mark J Flannick | 1588853 | 1 | 12/31/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Basil Edmund Conroy | 2225220 | 1 | 09/19/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Andrew Jason Wachner | 5424762 | 1 | 09/15/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |