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 |
|---|---|---|---|---|---|---|---|---|
| William Aubrey Morrow | 836500 | 15 | 04/11/2012 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 13 | 12/11/2011 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 12/08/2011 | Customer Dispute | Settled | $613,310.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 10/05/2011 | Customer Dispute | Settled | $594,171.00 | $0.00 | See FINRA Report |
| Thomas Michael Fanning | 1107203 | 3 | 06/01/2011 | Customer Dispute | Settled | $19,200.00 | $0.00 | See FINRA Report |
| John Thomas Hess | 4616655 | 1 | 03/24/2011 | Customer Dispute | Settled | $2,563,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 01/24/2011 | Customer Dispute | Settled | $796,904.00 | $0.00 | See FINRA Report |
| Clemont Lee Bevill | 1790971 | 4 | 01/10/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 11/15/2010 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 08/18/2010 | Customer Dispute | Settled | $2,111,130.00 | $0.00 | See FINRA Report |