Our Staff has compiled our research into a database of FINRA Broker Disclosures for Race Rock Capital 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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Ann Sheridan | 1203915 | 8 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catherine Ann Sheridan | 1203915 | 8 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Sheridan | 1203915 | 8 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Sheridan | 1203915 | 8 | 08/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Sheridan | 1203915 | 8 | 04/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Sheridan | 1203915 | 8 | 01/05/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catherine Ann Sheridan | 1203915 | 8 | 10/21/2015 | Customer Dispute | Settled | $880,000.00 | $0.00 | See FINRA Report |
| Catherine Ann Sheridan | 1203915 | 8 | 03/24/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly Beth Neely | 2045019 | 2 | 09/15/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Beth Neely | 2045019 | 2 | 09/12/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |