Our Staff has compiled our research into a database of FINRA Broker Disclosures for Moody Capital Solutions, Inc. 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lloyd Rosenstein | 2195737 | 4 | 10/11/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Alden Ellis | 4609980 | 1 | 06/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Allen Walters | 1436760 | 3 | 10/27/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lloyd Rosenstein | 2195737 | 4 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Allen Walters | 1436760 | 3 | 11/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Lloyd Rosenstein | 2195737 | 4 | 04/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Lloyd Rosenstein | 2195737 | 4 | 04/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Douglas Lenart | 736107 | 1 | 03/30/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Walters | 1436760 | 3 | 03/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |