Our Staff has compiled our research into a database of FINRA Broker Disclosures for Signature Securities. 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 |
|---|---|---|---|---|---|---|---|---|
| Philip Donald Beviano | 2516187 | 11 | 02/11/2021 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Philip Donald Beviano | 2516187 | 11 | 01/25/2021 | Customer Dispute | Settled | $86,000.00 | $0.00 | See FINRA Report |
| Jay David Slade | 2191979 | 1 | 12/31/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Philip Donald Beviano | 2516187 | 11 | 11/06/2020 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Brian David Schwartz | 4059140 | 4 | 05/14/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian David Schwartz | 4059140 | 4 | 07/17/2017 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Philip Donald Beviano | 2516187 | 11 | 11/21/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Philip Donald Beviano | 2516187 | 11 | 10/24/2011 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Konstantin Solomon Prives | 2581509 | 5 | 01/20/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Donald Beviano | 2516187 | 11 | 07/09/2010 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |