Our Staff has compiled our research into a database of FINRA Broker Disclosures for USCA 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 |
|---|---|---|---|---|---|---|---|---|
| Gil Aaron Beer | 4910876 | 2 | 06/01/2022 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| Timothy Vaughn Myers | 1874522 | 1 | 06/01/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| George Wilson Howe | 2768019 | 2 | 12/17/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Ernest Domenic Kappotis | 4871251 | 1 | 03/04/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Ton | 1532181 | 4 | 10/13/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Amanda Ton | 1532181 | 4 | 11/29/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Michael Mendenhall | 1068809 | 2 | 10/01/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel Wayne Vickery | 4287245 | 1 | 10/01/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kimberly Ripoll | 2557442 | 3 | 05/10/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Elizabeth Frankfort | 3136185 | 1 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |