Our Staff has compiled our research into a database of FINRA Broker Disclosures for Natwest Markets 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 |
|---|---|---|---|---|---|---|---|---|
| Gary Andrew Santoro | 5423437 | 5 | 08/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Andrew Santoro | 5423437 | 5 | 09/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Andrew Santoro | 5423437 | 5 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Andrew Santoro | 5423437 | 5 | 05/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Andrew Santoro | 5423437 | 5 | 05/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Wayne Seiffer | 2355383 | 1 | 09/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Bicker | 2582630 | 1 | 04/14/2009 | Customer Dispute | Denied | $52,500.00 | $0.00 | See FINRA Report |
| Robert Paul Treacy | 3251880 | 1 | 11/09/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |