Our Staff has compiled our research into a database of FINRA Broker Disclosures for Oberon 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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas Guilfoile | 2202583 | 4 | 05/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Guilfoile | 2202583 | 4 | 03/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Guilfoile | 2202583 | 4 | 11/08/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Scott Dubbin | 5774189 | 1 | 05/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Gooderum | 5771218 | 1 | 01/05/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Larry Odell Clayton | 6775529 | 1 | 06/03/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David James Karlin | 2049000 | 2 | 01/14/1998 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David James Karlin | 2049000 | 2 | 08/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Guilfoile | 2202583 | 4 | 07/29/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |