Our Staff has compiled our research into a database of FINRA Broker Disclosures for International Assets Advisory, 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 |
|---|---|---|---|---|---|---|---|---|
| John Andrew Bodnar | 714669 | 8 | 03/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Spartz | 1504058 | 2 | 03/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| H Craig Rappaport | 1916976 | 5 | 01/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Kim | 2213830 | 7 | 09/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Thomas Moran | 4321460 | 3 | 08/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Kim | 2213830 | 7 | 07/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Renton Tourville | 4078778 | 1 | 07/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Kim | 2213830 | 7 | 06/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Anthony Nelson | 1365220 | 7 | 05/24/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Thomas Moran | 4321460 | 3 | 05/15/2017 | Customer Dispute | Denied | $22,428.40 | $0.00 | See FINRA Report |