Our Staff has compiled our research into a database of FINRA Broker Disclosures for R.M. Duncan Securities, Inc.. 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 Bartlett Roach | 1642579 | 8 | 07/05/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bartlett Roach | 1642579 | 8 | 05/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 05/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 11/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 04/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 10/12/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Max Duncan | 873519 | 2 | 12/31/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bartlett Roach | 1642579 | 8 | 06/25/2003 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Robert Bartlett Roach | 1642579 | 8 | 06/18/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Randall Max Duncan | 873519 | 2 | 12/20/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |