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 |
|---|---|---|---|---|---|---|---|---|
| Frank Timothy Dunn | 1075960 | 4 | 12/10/2012 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 11/05/2012 | Customer Dispute | Settled | $1,452,660.00 | $0.00 | See FINRA Report |
| Peter Jacob Amrein | 6500740 | 1 | 08/19/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 04/20/2012 | Customer Dispute | Settled | $22,500.00 | $0.00 | See FINRA Report |
| 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 | 07/06/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Fanning | 1107203 | 3 | 06/01/2011 | Customer Dispute | Settled | $19,200.00 | $0.00 | See FINRA Report |