Our Staff has compiled our research into a database of FINRA Broker Disclosures for Whitaker Securities 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 |
|---|---|---|---|---|---|---|---|---|
| Adam Lee Ross | 4073818 | 4 | 05/11/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Estee Carla Dorfman | 2696529 | 1 | 11/28/2011 | Customer Dispute | Withdrawn | $490,251.00 | $0.00 | See FINRA Report |
| Thomas Edward Oneill | 1237573 | 2 | 10/08/2009 | Customer Dispute | Settled | $940,000.00 | $0.00 | See FINRA Report |
| Richard Jeffrey Redican | 2562859 | 2 | 01/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Oneill | 1237573 | 2 | 10/24/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Lee Ross | 4073818 | 4 | 04/06/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam Lee Ross | 4073818 | 4 | 12/05/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam Lee Ross | 4073818 | 4 | 09/05/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Jeffrey Redican | 2562859 | 2 | 07/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Kenneth MacKie | 1739478 | 1 | 05/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |