Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ally Invest 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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Freedlund | 5904626 | 1 | 11/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Merk | 6534684 | 1 | 06/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Newman | 6508777 | 1 | 08/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mengji Hsieh | 7385965 | 3 | 01/31/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Billy Richard Rains | 7330753 | 1 | 10/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Phillips | 6731388 | 1 | 11/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mengji Hsieh | 7385965 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mengji Hsieh | 7385965 | 3 | 03/11/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paxton Wood | 6373907 | 1 | 03/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Benjamin | 5768793 | 1 | 10/03/2015 | Customer Dispute | Closed-No Action | $8,796.00 | $0.00 | See FINRA Report |