Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Republic Securities Company, 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 |
|---|---|---|---|---|---|---|---|---|
| Harold Louis Reinstein | 2516822 | 1 | 11/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ngai Pham | 4283798 | 1 | 08/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kristen Mariko Hirano | 7076564 | 1 | 08/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Benjamin Metzger | 5311021 | 1 | 04/30/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Maxwell Douglas Peckler | 2391251 | 6 | 04/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fortune Stephen MacRi | 5751599 | 1 | 02/24/2021 | Customer Dispute | Pending | $488,000.00 | $0.00 | See FINRA Report |
| Emily Markwith Greten | 6704939 | 1 | 02/23/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Donald Babrick | 4433983 | 2 | 11/17/2020 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| James Wightman Wilcox | 4261884 | 1 | 11/17/2020 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Dean Jackson | 2556318 | 2 | 09/14/2020 | Customer Dispute | Pending | $236,979.00 | $0.00 | See FINRA Report |