Our Staff has compiled our research into a database of FINRA Broker Disclosures for Tobin & Company 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 |
|---|---|---|---|---|---|---|---|---|
| William Raymond O'Connor | 6661379 | 5 | 10/31/2022 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| William Raymond O'Connor | 6661379 | 5 | 10/04/2022 | Customer Dispute | Settled | $498,000.00 | $0.00 | See FINRA Report |
| William Raymond O'Connor | 6661379 | 5 | 09/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Raymond O'Connor | 6661379 | 5 | 08/29/2022 | Customer Dispute | Denied | $1,550,920.00 | $0.00 | See FINRA Report |
| Justine Eidt Tobin | 1641345 | 2 | 09/21/2021 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Justine Eidt Tobin | 1641345 | 2 | 08/06/2021 | Customer Dispute | Pending | $3,500,000.00 | $0.00 | See FINRA Report |
| Dimitri Uhlik | 4173887 | 2 | 09/13/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Dimitri Uhlik | 4173887 | 2 | 01/27/2010 | Customer Dispute | Denied | $5,775.00 | $0.00 | See FINRA Report |
| Theodore Joseph Aust | 5851779 | 1 | 11/08/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Raymond O'Connor | 6661379 | 5 | 11/30/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |