Our Staff has compiled our research into a database of FINRA Broker Disclosures for Navy Federal Investment Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Richard James Ruggieri | 7357073 | 2 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard James Ruggieri | 7357073 | 2 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Renee Scott | 4170622 | 1 | 11/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Reese | 1696804 | 4 | 07/15/2014 | Customer Dispute | Settled | $14,797.50 | $0.00 | See FINRA Report |
| Kevin Michael Reese | 1696804 | 4 | 10/16/2012 | Customer Dispute | Settled | $11,768.30 | $0.00 | See FINRA Report |
| Kevin Michael Reese | 1696804 | 4 | 07/15/2008 | Customer Dispute | Settled | $155,255.00 | $0.00 | See FINRA Report |
| Thomas Edward Leechin | 3014218 | 1 | 05/18/2005 | Customer Dispute | Denied | $6,600.00 | $0.00 | See FINRA Report |
| Kevin Michael Reese | 1696804 | 4 | 04/07/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Capell | 1293679 | 3 | 02/16/2002 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Capell | 1293679 | 3 | 11/28/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |