Our Staff has compiled our research into a database of FINRA Broker Disclosures for Apex Clearing 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 |
|---|---|---|---|---|---|---|---|---|
| William Walter Capuzzi | 4323894 | 1 | 07/14/2021 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Daisy Wall | 6703225 | 1 | 07/14/2021 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Tara Williams | 6685174 | 2 | 03/23/2018 | Customer Dispute | Closed-No Action | $29,156.00 | $0.00 | See FINRA Report |
| Tara Williams | 6685174 | 2 | 10/28/2015 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |