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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Philip Raupp | 4079107 | 13 | 09/16/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 05/29/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 05/27/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 04/30/2020 | Customer Dispute | Settled | $145,715.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 03/05/2020 | Customer Dispute | Settled | $514,000.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 09/26/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Kiesnoski | 2688017 | 4 | 06/03/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 06/03/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Brent Wayne Lee | 5436195 | 1 | 01/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Timothy Dunn | 1075960 | 4 | 03/31/2016 | Customer Dispute | Settled | $452,388.00 | $0.00 | See FINRA Report |