Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alps Portfolio Solutions Distributor, 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 |
|---|---|---|---|---|---|---|---|---|
| Gary Francis West | 2076131 | 1 | 12/13/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jared Charles Kloos | 4697750 | 1 | 08/31/2012 | Customer Dispute | Settled | $9,303.46 | $0.00 | See FINRA Report |
| Robert F Dudley | 1048729 | 2 | 07/10/2006 | Customer Dispute | Denied | $50,511.00 | $0.00 | See FINRA Report |
| Robert F Dudley | 1048729 | 2 | 11/14/2005 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Matthew Scott Klotz | 5018961 | 1 | 04/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |