Our Staff has compiled our research into a database of FINRA Broker Disclosures for Exemplar 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 |
|---|---|---|---|---|---|---|---|---|
| Andrew John Szabo | 1303597 | 5 | 08/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilles Conrad Cote | 2445906 | 1 | 06/23/2003 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| John Cooper Cordin | 3182812 | 1 | 01/12/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 4 | 02/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 4 | 10/31/1989 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 4 | 11/10/1987 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |