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 | 05/15/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jorge Antonio Netto | 2432661 | 5 | 02/16/2001 | Customer Dispute | Settled | $34,774.00 | $0.00 | See FINRA Report |
| Jorge Antonio Netto | 2432661 | 5 | 03/21/2000 | Customer Dispute | Settled | $560,000.00 | $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 |
| Juan Manuel Doria | 3157084 | 2 | 11/28/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roberto Felipe Garcia | 1877805 | 3 | 06/10/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |