Our Staff has compiled our research into a database of FINRA Broker Disclosures for Saxony Securities, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Lloyd Douglas Hodgin | 2954267 | 5 | 12/15/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gene Alvin Brehm | 2815437 | 1 | 10/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Tolbert | 833765 | 9 | 08/30/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Virginia Frances Thompson | 1834046 | 3 | 08/19/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Virginia Frances Thompson | 1834046 | 3 | 08/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary L Shumate | 4520199 | 1 | 08/12/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leigh Edwin Borage | 4142502 | 1 | 04/22/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wayne Edward Bernardo | 1005142 | 2 | 03/26/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wayne Edward Bernardo | 1005142 | 2 | 03/13/2008 | Customer Dispute | Settled | $354,321.00 | $0.00 | See FINRA Report |
| Mark David Aigner | 2645924 | 3 | 12/07/2007 | Customer Dispute | Closed-No Action | $44,000.00 | $0.00 | See FINRA Report |