Our Staff has compiled our research into a database of FINRA Broker Disclosures for BA 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 |
|---|---|---|---|---|---|---|---|---|
| Lloyd Brian Hannan | 4528184 | 2 | 06/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Leonard Kochman | 4450783 | 2 | 11/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Leonard Kochman | 4450783 | 2 | 08/17/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Kenneth Ahlholm | 1992745 | 2 | 12/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Kenneth Ahlholm | 1992745 | 2 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Raymond Demoss | 5324342 | 3 | 03/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Raymond Demoss | 5324342 | 3 | 01/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Raymond Demoss | 5324342 | 3 | 10/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |