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 |
---|---|---|---|---|---|---|---|---|
Kelly Albert Rushing | 407409 | 2 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Morris Scott Gottesman | 1810075 | 3 | 12/14/2001 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
Gregory Todd Lavergne | 1935068 | 1 | 10/10/2000 | Customer Dispute | Pending | $850,000.00 | $0.00 | See FINRA Report |
Patrick Michael Mendenhall | 1068809 | 4 | 10/09/2000 | Customer Dispute | Settled | $1,446,340.00 | $0.00 | See FINRA Report |
Deborah Tinnell Ellis | 2866138 | 3 | 01/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Deborah Tinnell Ellis | 2866138 | 3 | 08/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Deborah Tinnell Ellis | 2866138 | 3 | 01/02/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
John Austin Howle | 1284162 | 5 | 04/01/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
John Austin Howle | 1284162 | 5 | 03/01/1987 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
Kelly Albert Rushing | 407409 | 2 | 05/24/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |