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 |
|---|---|---|---|---|---|---|---|---|
| Yona S Reaux | 4677245 | 1 | 04/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Austin Howle | 1284162 | 5 | 12/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia Sue Trieglaff | 1320163 | 1 | 11/06/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Christian Chance Bauman | 2731904 | 2 | 05/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christian Chance Bauman | 2731904 | 2 | 04/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gil Aaron Beer | 4910876 | 2 | 03/27/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| George Wilson Howe | 2768019 | 3 | 12/21/2005 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Amanda Ton | 1532181 | 4 | 10/28/2003 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Morris Scott Gottesman | 1810075 | 3 | 11/19/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Karee Hoffman Sampson | 1240088 | 1 | 11/11/2002 | Customer Dispute | Denied | $23,500.00 | $0.00 | See FINRA Report |