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 | 03/28/2005 | Customer Dispute | Denied | $6,625.82 | $0.00 | See FINRA Report |
| William John Maguire | 2040885 | 3 | 03/03/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Maguire | 2040885 | 3 | 12/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Santucci | 2705843 | 1 | 09/19/2003 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| William John Maguire | 2040885 | 3 | 05/29/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Konstantin Solomon Prives | 2581509 | 5 | 03/11/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Alexander Leon | 2336148 | 1 | 12/02/1998 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| James Joseph Roach | 736103 | 1 | 07/13/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |