Our Staff has compiled our research into a database of FINRA Broker Disclosures for Axos Clearing 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 |
|---|---|---|---|---|---|---|---|---|
| Kristina Anne Wagner | 2855667 | 2 | 02/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Patrick Watkins | 7161645 | 1 | 04/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristina Anne Wagner | 2855667 | 2 | 04/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Giovanni Tidona | 5203193 | 1 | 12/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph J Getz | 5050615 | 1 | 09/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Gailen Heidzig | 2900274 | 1 | 04/26/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Thomas Palmeri | 2705342 | 1 | 06/14/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amy Elizabeth Ausdemore | 3066979 | 1 | 03/02/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Marc Fogel | 2288736 | 1 | 05/16/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |