Our Staff has compiled our research into a database of FINRA Broker Disclosures for Seven Points Capital, 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 |
|---|---|---|---|---|---|---|---|---|
| Trevor Serge Coates | 7165206 | 1 | 09/23/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Anthony Kallas | 6030223 | 1 | 11/13/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bhinder Dhaliwal | 7156137 | 2 | 03/19/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 04/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 04/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 07/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bhinder Dhaliwal | 7156137 | 2 | 06/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |