Our Staff has compiled our research into a database of FINRA Broker Disclosures for Candlewood 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 |
|---|---|---|---|---|---|---|---|---|
| Randall Peter Stern | 2847920 | 1 | 05/26/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Walter Rhudy | 1320286 | 14 | 12/04/2002 | Customer Dispute | Settled | $32,698.60 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 11/06/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 10/03/2001 | Customer Dispute | Settled | $947,562.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 09/18/2001 | Customer Dispute | Settled | $48,830.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 08/24/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 08/10/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 07/16/2001 | Customer Dispute | Settled | $137,000.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 05/23/2001 | Customer Dispute | Settled | $1,446,890.00 | $0.00 | See FINRA Report |
| David Walter Rhudy | 1320286 | 14 | 06/02/2000 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |