Our Staff has compiled our research into a database of FINRA Broker Disclosures for Parkland Securities, 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 Anthony Buontempo | 1147390 | 5 | 01/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Beverly Ann Barr | 1071400 | 1 | 09/23/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Aaron James Barr | 6193991 | 1 | 09/23/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 07/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Francis Roehrich | 1775964 | 6 | 06/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dale Francis Roehrich | 1775964 | 6 | 06/10/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Walter James Hails | 2618254 | 1 | 04/24/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan Michael Oliver | 4881864 | 1 | 12/22/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 05/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Eugene Love | 1209305 | 4 | 03/23/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |