Our Staff has compiled our research into a database of FINRA Broker Disclosures for Spire 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 |
|---|---|---|---|---|---|---|---|---|
| Xiaoyong Wang | 5336815 | 1 | 11/12/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Filone | 2651076 | 1 | 07/14/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 23 | 11/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Feisal Ahmed Khan Malik | 2115832 | 3 | 10/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher James Broderick | 4817640 | 1 | 07/10/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Russell Lloyd | 1995407 | 3 | 06/27/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Erik Aabel | 1493667 | 23 | 07/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip James Fluegge | 1020686 | 2 | 11/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lloyd Blisk | 2155652 | 1 | 05/30/2017 | Customer Dispute | Award / Judgment | $22,000,000.00 | $3,000,000.00 | See FINRA Report |
| Suzanne Marie McKeown | 1814114 | 1 | 05/30/2017 | Customer Dispute | Award / Judgment | $22,000,000.00 | $3,000,000.00 | See FINRA Report |