Our Staff has compiled our research into a database of FINRA Broker Disclosures for KCD Financial, Inc.. 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 |
---|---|---|---|---|---|---|---|---|
Joel Reid Blumenschein | 1372334 | 8 | 10/24/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
Joel Reid Blumenschein | 1372334 | 8 | 04/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Joel Reid Blumenschein | 1372334 | 8 | 11/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
William Cerelli | 2698281 | 7 | 12/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Louis James Pappas | 4022644 | 2 | 09/20/2019 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
William Cerelli | 2698281 | 7 | 08/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Mark Raymond Sitter | 1810591 | 6 | 03/12/2019 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
William Cerelli | 2698281 | 7 | 01/03/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
William Cerelli | 2698281 | 7 | 03/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Mark Raymond Sitter | 1810591 | 6 | 12/08/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |