Our Staff has compiled our research into a database of FINRA Broker Disclosures for ALT Fund Distributors 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 |
|---|---|---|---|---|---|---|---|---|
| Lisa B Morrison | 6244933 | 2 | 07/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa B Morrison | 6244933 | 2 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Frederick Burdick | 2179537 | 1 | 12/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Martin Corey | 3087827 | 1 | 10/21/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Joseph McCart | 2546976 | 2 | 06/30/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Kirkman Rowland | 5714688 | 1 | 06/24/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tye Allen Uppinghouse | 2938910 | 1 | 01/27/2003 | Customer Dispute | Denied | $13,685.00 | $0.00 | See FINRA Report |
| William Joseph McCart | 2546976 | 2 | 12/30/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |