Our Staff has compiled our research into a database of FINRA Broker Disclosures for Boreal Capital 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 |
|---|---|---|---|---|---|---|---|---|
| Jorge Antonio Netto | 2432661 | 5 | 08/13/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Moreno | 4370359 | 3 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Annette Marie Manon | 2905638 | 3 | 08/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Moreno | 4370359 | 3 | 08/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Eugene Stice | 1349210 | 2 | 02/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Eugene Stice | 1349210 | 2 | 06/27/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |