Our Staff has compiled our research into a database of FINRA Broker Disclosures for Private Client Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Alan Steiman | 4460244 | 3 | 04/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Steiman | 4460244 | 3 | 05/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Steiman | 4460244 | 3 | 04/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 08/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 05/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 05/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 02/23/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 01/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 02/04/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 01/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |