Our Staff has compiled our research into a database of FINRA Broker Disclosures for Castleoak Securities, Lp. 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 |
|---|---|---|---|---|---|---|---|---|
| Anthony O Humphrey | 5932685 | 2 | 11/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony O Humphrey | 5932685 | 2 | 11/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Demetrio Ortiz | 4663738 | 6 | 07/12/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Demetrio Ortiz | 4663738 | 6 | 07/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benedetto Denigris | 1081711 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Demetrio Ortiz | 4663738 | 6 | 08/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Demetrio Ortiz | 4663738 | 6 | 03/31/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian D Johnson | 2936154 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald James Hollinger | 1859734 | 3 | 02/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Demetrio Ortiz | 4663738 | 6 | 11/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |