Our Staff has compiled our research into a database of FINRA Broker Disclosures for Newoak Capital Markets 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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Meerbaum | 2964862 | 4 | 07/10/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Joseph Meerbaum | 2964862 | 4 | 04/02/2002 | Customer Dispute | Settled | $595,000.00 | $0.00 | See FINRA Report |
| Joseph Meerbaum | 2964862 | 4 | 03/22/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Meerbaum | 2964862 | 4 | 06/01/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Harrington Kelly | 5815975 | 2 | 01/06/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Harrington Kelly | 5815975 | 2 | 04/15/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |