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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| David Jon Zupek | 2250376 | 6 | 08/03/2010 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Marc Harold Slavny | 2515906 | 2 | 02/10/2010 | Customer Dispute | Closed-No Action | $54,000.00 | $0.00 | See FINRA Report |
| Herbert Alston | 5294132 | 3 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Kiesnoski | 2688017 | 4 | 08/21/2009 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Steven Eric Erickson | 4400791 | 3 | 06/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |