Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alliancebernstein Investments, 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 |
|---|---|---|---|---|---|---|---|---|
| Louis Tumminia | 7420149 | 1 | 11/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Young | 6374421 | 1 | 07/02/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason F Mertz | 6730094 | 1 | 01/08/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett M Matzen | 6835237 | 1 | 08/05/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony David Knight | 5421959 | 1 | 10/15/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly Anne Willie | 5782036 | 1 | 04/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |