Our Staff has compiled our research into a database of FINRA Broker Disclosures for Bolton Securities Corporation. 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 |
|---|---|---|---|---|---|---|---|---|
| Enrique Ortega | 5859283 | 1 | 04/14/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raul Rohr | 4946818 | 1 | 07/06/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adriana M Perez | 5781158 | 1 | 08/12/2021 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| John Gennaro Cataldo | 5707721 | 1 | 02/08/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karyn S Soroa | 5681318 | 1 | 05/26/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Euclides Rafael Moreno | 4166571 | 1 | 04/18/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Russell Bradford Dow | 2082577 | 1 | 03/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Alberto Astudillo | 4376306 | 1 | 02/03/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marcelo Elias Charul | 5418673 | 1 | 01/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Henrique Joao Pinheiro | 4090649 | 1 | 08/09/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |