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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Aigner | 2645924 | 3 | 04/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Brickhaus | 4200081 | 2 | 03/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Tolbert | 833765 | 9 | 07/12/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Brickhaus | 4200081 | 2 | 09/28/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Allan Romano | 4831446 | 1 | 07/27/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Tolbert | 833765 | 9 | 08/05/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Bruce Edward Tolbert | 833765 | 9 | 06/25/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Virgil Alvis Folden | 1067585 | 2 | 12/19/2003 | Customer Dispute | Closed-No Action | $5,815.00 | $0.00 | See FINRA Report |
| Dmitry Feldman | 2862866 | 2 | 03/22/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lloyd Douglas Hodgin | 2954267 | 5 | 12/10/2001 | Customer Dispute | Dismissed | $1,268,470.00 | $0.00 | See FINRA Report |