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 |
|---|---|---|---|---|---|---|---|---|
| Alexander Ho Lim | 1862168 | 1 | 01/19/2017 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Timmick | 3212857 | 2 | 08/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stevin Lindsay Moses | 2864303 | 3 | 03/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stevin Lindsay Moses | 2864303 | 3 | 03/07/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stevin Lindsay Moses | 2864303 | 3 | 10/14/2015 | Customer Dispute | Settled | $257,000.00 | $0.00 | See FINRA Report |
| Nick Charles Hoffmann | 2114796 | 4 | 08/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Reid | 4853412 | 1 | 07/28/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Thomas Fox | 4270579 | 2 | 08/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Thomas Fox | 4270579 | 2 | 01/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan M Rigg | 5117040 | 3 | 10/09/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |