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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Kenneth Ahlholm | 1992745 | 2 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Martin Kirby | 4485647 | 1 | 03/19/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Trever Francis Acers | 5914683 | 1 | 12/05/2012 | Customer Dispute | Dismissed | $716,785.00 | $0.00 | See FINRA Report |
| Joncarlo Ruben Mark | 6249625 | 1 | 08/29/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Raymond Demoss | 5324342 | 3 | 03/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Jason Anderson | 4843265 | 1 | 03/19/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Raymond Demoss | 5324342 | 3 | 01/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Thomas Morelli | 2760493 | 1 | 03/06/2008 | Customer Dispute | Settled | $100,000,000.00 | $0.00 | See FINRA Report |
| Harold Raymond Demoss | 5324342 | 3 | 10/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eugene Park | 3046595 | 1 | 01/02/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |