Our Staff has compiled our research into a database of FINRA Broker Disclosures for Andes Capital Group, 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 |
|---|---|---|---|---|---|---|---|---|
| Keith Malcolm Spears | 1881182 | 5 | 07/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Malcolm Spears | 1881182 | 5 | 07/09/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Daniel Giordano | 2802371 | 7 | 05/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Daniel Giordano | 2802371 | 7 | 04/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Malcolm Spears | 1881182 | 5 | 10/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Malcolm Spears | 1881182 | 5 | 07/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Malcolm Spears | 1881182 | 5 | 05/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charlie James Harrison | 1376362 | 2 | 01/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Douglas Lenart | 736107 | 1 | 03/30/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Eldridge Bailey | 840641 | 1 | 03/11/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |