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 | 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 |
| 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 |
| Herbert Alston | 5294132 | 3 | 02/24/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Jon Zupek | 2250376 | 6 | 09/26/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |