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 |
|---|---|---|---|---|---|---|---|---|
| Nick Charles Hoffmann | 2114796 | 4 | 10/20/2004 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Gary Joseph Siano | 1273119 | 3 | 01/12/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter James Potestato | 2195974 | 2 | 12/02/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph David Cochran | 1184736 | 1 | 10/25/2002 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Ralph Gosen | 1889470 | 3 | 03/26/2001 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Christopher Norman Herkert | 5865062 | 1 | 12/20/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter James Bishop | 1041625 | 1 | 03/06/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |