Our Staff has compiled our research into a database of FINRA Broker Disclosures for Founders Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Forrest Zimmer | 5262205 | 1 | 04/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raffaele Nicholas Mazzone | 7260631 | 1 | 01/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Ann Derickson | 2335572 | 1 | 12/13/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Nick Charles Hoffmann | 2114796 | 4 | 11/13/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nick Charles Hoffmann | 2114796 | 4 | 07/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David S Ryan | 5499913 | 1 | 12/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clyde Warren Ford | 4700006 | 2 | 11/01/2019 | Customer Dispute | Award / Judgment | $410,000.00 | $410,000.00 | See FINRA Report |
| Clyde Warren Ford | 4700006 | 2 | 09/05/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William David Kessler | 1645594 | 1 | 03/05/2019 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Alexander Ho Lim | 1862168 | 1 | 01/19/2017 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |