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 |
|---|---|---|---|---|---|---|---|---|
| Tracey Douglas Frank | 1773889 | 2 | 05/27/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 07/31/2002 | Customer Dispute | Denied | $65,517.00 | $0.00 | See FINRA Report |
| Patrick Michael van Roten | 2892385 | 2 | 01/28/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Victoria Rochelle Abrams | 1889264 | 2 | 08/24/2001 | Customer Dispute | Settled | $3,119,860.00 | $0.00 | See FINRA Report |
| Victoria Rochelle Abrams | 1889264 | 2 | 01/05/2001 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Howard Jay Barnett | 2183706 | 1 | 07/18/2000 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Frank Thomas Vandy | 4476750 | 2 | 11/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Nicholas Receski | 1339216 | 1 | 07/20/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Charles Protigal | 2187244 | 8 | 10/24/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Peter Colell | 50660 | 6 | 10/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |