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FINRA Broker Disclosures for USCA Securities LLC

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.

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Displaying 31-40 out of 40 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Kelly Albert Rushing407409204/22/2002Customer DisputeSettled$0.00$0.00See FINRA Report
Morris Scott Gottesman1810075312/14/2001Customer DisputeDenied$20,000.00$0.00See FINRA Report
Gregory Todd Lavergne1935068110/10/2000Customer DisputePending$850,000.00$0.00See FINRA Report
Patrick Michael Mendenhall1068809410/09/2000Customer DisputeSettled$1,446,340.00$0.00See FINRA Report
Deborah Tinnell Ellis2866138301/29/1996CriminalFinal Disposition$0.00$0.00See FINRA Report
Deborah Tinnell Ellis2866138308/18/1991CriminalFinal Disposition$0.00$0.00See FINRA Report
Deborah Tinnell Ellis2866138301/02/1991CriminalFinal Disposition$0.00$0.00See FINRA Report
John Austin Howle1284162504/01/1987Employment Separation After Allegations$0.00$0.00See FINRA Report
John Austin Howle1284162503/01/1987Civil Bond$0.00$0.00See FINRA Report
Kelly Albert Rushing407409205/24/1985RegulatoryFinal$0.00$0.00See FINRA Report

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