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 | 11 | 12/07/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Huber | 5976354 | 2 | 11/24/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Tommy John Thompson | 6626035 | 1 | 11/20/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dana Zimmerman | 7347164 | 4 | 11/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dana Zimmerman | 7347164 | 4 | 10/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Philip Raupp | 4079107 | 11 | 09/16/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Dana Zimmerman | 7347164 | 4 | 09/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dana Zimmerman | 7347164 | 4 | 09/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberlee Elizabeth Levy | 4065593 | 1 | 07/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Gregory McEwin | 1897192 | 1 | 07/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |