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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Herbert Alston | 5294132 | 3 | 03/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Lowther | 2606268 | 2 | 02/19/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brent Wayne Lee | 5436195 | 1 | 01/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Eric Erickson | 4400791 | 3 | 12/31/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Harris | 2775162 | 1 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |