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 |
| Dimitri Uhlik | 4173887 | 2 | 09/13/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |