Our Staff has compiled our research into a database of FINRA Broker Disclosures for Thornburg Securities Corporation. 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 |
|---|---|---|---|---|---|---|---|---|
| William R Eberle | 5450152 | 1 | 10/14/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Thomas Gamache | 5538021 | 2 | 05/06/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Gamache | 5538021 | 2 | 06/21/2018 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Gregory Mark Feldman | 4449089 | 1 | 06/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Quitman Newell | 5406053 | 1 | 05/04/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Thomas Whalen | 4558083 | 1 | 02/19/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sam Cortez Snelling | 6549089 | 1 | 05/19/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Gerard Coletti | 3208895 | 1 | 03/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael E Capitani | 2535831 | 2 | 08/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael E Capitani | 2535831 | 2 | 03/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |