Our Staff has compiled our research into a database of FINRA Broker Disclosures for Apollo Global 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas S Pai | 4588977 | 1 | 12/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reed Benjamin Rayman | 4983087 | 3 | 08/23/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| E-Fei Peter Wang | 6361951 | 1 | 08/23/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| James Charles Zelter | 1336776 | 1 | 08/17/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Marc Jeffrey Rowan | 1410799 | 3 | 08/17/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Martin Kleinman | 2528120 | 2 | 08/17/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Christine Elizabeth Hommes | 4982492 | 3 | 07/11/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Romeo | 5159956 | 2 | 07/11/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Olivia Wassenaar | 5174710 | 3 | 07/11/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Wilson Bates Handler | 5220220 | 3 | 07/11/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |