Our Staff has compiled our research into a database of FINRA Broker Disclosures for Amherst Pierpont. 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 |
|---|---|---|---|---|---|---|---|---|
| Maureen Nobile | 4411623 | 1 | 12/27/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Dearmond Lane | 2671708 | 2 | 11/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Dearmond Lane | 2671708 | 2 | 10/03/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher J Helwig | 2874197 | 2 | 09/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luis Fernando Eguia | 3028483 | 3 | 07/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luis Fernando Eguia | 3028483 | 3 | 07/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Matthew Catsam | 4779456 | 1 | 09/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Fernando Eguia | 3028483 | 3 | 01/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Norton Walsh | 2804671 | 3 | 03/28/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Graham Schuler Treece | 5052596 | 1 | 02/25/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |