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 |
|---|---|---|---|---|---|---|---|---|
| Tim David Hakes | 2399374 | 4 | 01/06/2003 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Kent Joseph Martinson | 2184438 | 1 | 12/06/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Sammy Joseph Kudmani | 2901860 | 1 | 10/15/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Way Bayley | 1833753 | 3 | 09/24/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Way Bayley | 1833753 | 3 | 08/19/2002 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Joshua Allen Cooper | 4779755 | 1 | 07/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tim David Hakes | 2399374 | 4 | 07/10/2002 | Customer Dispute | Denied | $64,832.00 | $0.00 | See FINRA Report |
| Daniel Anthony Cesta | 2763334 | 1 | 08/27/2001 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| William Gilmore Christie | 5955580 | 1 | 08/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Deborah Dutton Baldini | 862603 | 1 | 07/13/2001 | Customer Dispute | Settled | $701,000.00 | $0.00 | See FINRA Report |