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 |
|---|---|---|---|---|---|---|---|---|
| Christopher John Marrs | 2260838 | 1 | 07/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Henry Kosen | 274166 | 2 | 05/10/2016 | Customer Dispute | Settled | $6,202.00 | $0.00 | See FINRA Report |
| Roy Alvin Williams | 1069297 | 9 | 03/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Raymond Sitter | 1810591 | 6 | 12/09/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jefferson Emory Davis | 2001136 | 8 | 10/17/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Reid Blumenschein | 1372334 | 4 | 04/03/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Alvin Williams | 1069297 | 9 | 12/06/2011 | Customer Dispute | Withdrawn | $62,666.30 | $0.00 | See FINRA Report |
| Henry Corrao | 1455690 | 12 | 11/30/2011 | Customer Dispute | Denied | $15,324.00 | $0.00 | See FINRA Report |
| Maria Patricia Tipton | 1553466 | 1 | 06/29/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Alvin Williams | 1069297 | 9 | 05/24/2011 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |