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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Daniel Wayne Vickery | 4287245 | 1 | 10/01/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Mendenhall | 1068809 | 4 | 10/01/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kimberly Ripoll | 2557442 | 1 | 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 |
| Morris Scott Gottesman | 1810075 | 3 | 12/08/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Austin Howle | 1284162 | 5 | 07/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amanda Ton | 1532181 | 4 | 03/11/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |