Our Staff has compiled our research into a database of FINRA Broker Disclosures for Concorde Investment Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Eric Stuart Scaff | 5281210 | 1 | 07/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan Neil Lichtenstein | 1877017 | 2 | 06/24/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Bartlett Harrison | 1616987 | 2 | 05/20/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lynn Bangerter | 1687028 | 3 | 01/12/2024 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 09/06/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank Timothy Kuiper | 1774282 | 1 | 09/01/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Maher | 4641855 | 2 | 07/28/2023 | Customer Dispute | Pending | $54,000.00 | $0.00 | See FINRA Report |
| Lauri Ranae Grovich | 2415173 | 3 | 07/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Aubrey Morrow | 836500 | 15 | 05/12/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 02/08/2023 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |