Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sofi Securities 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 |
|---|---|---|---|---|---|---|---|---|
| Charles R Hall | 6193348 | 1 | 04/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Lee McGoogin-Smith | 6455095 | 2 | 02/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristal Chantel Boddie | 7037782 | 1 | 01/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Marie Jahns | 6488395 | 1 | 04/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamar Brown | 7364204 | 1 | 11/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Eric Johansen | 4826011 | 2 | 11/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Eric Johansen | 4826011 | 2 | 04/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Matthew Palmieri | 5356903 | 1 | 04/17/2015 | Customer Dispute | Denied | $5,978.00 | $0.00 | See FINRA Report |
| Brandon Drew Petersen | 6624270 | 1 | 09/07/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee McGoogin-Smith | 6455095 | 2 | 01/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |