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 |
|---|---|---|---|---|---|---|---|---|
| Rafael Moreno | 4370359 | 3 | 08/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Antonio Delgado | 4990149 | 3 | 09/28/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roberto Felipe Garcia | 1877805 | 3 | 09/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Annette Marie Manon | 2905638 | 3 | 08/17/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rafael Moreno | 4370359 | 3 | 08/17/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pedro Lourenco Pinto de Sousa | 4866583 | 2 | 04/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pedro Lourenco Pinto de Sousa | 4866583 | 2 | 12/05/2011 | Customer Dispute | Denied | $72,000.00 | $0.00 | See FINRA Report |
| Antonio Oliveira Moura | 4339637 | 1 | 07/19/2006 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Annette Marie Manon | 2905638 | 3 | 07/24/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge Antonio Netto | 2432661 | 5 | 08/31/2001 | Customer Dispute | Denied | $110,441.00 | $0.00 | See FINRA Report |