Our Staff has compiled our research into a database of FINRA Broker Disclosures for E D & F Man Capital Markets 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 |
|---|---|---|---|---|---|---|---|---|
| Michael Albert Hollerman | 2186041 | 2 | 01/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Albert Hollerman | 2186041 | 2 | 01/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Vincent | 2916844 | 2 | 03/29/2016 | Customer Dispute | Settled | $13,000,000.00 | $0.00 | See FINRA Report |
| Patricia Woodham | 2520369 | 1 | 09/16/2015 | Customer Dispute | Settled | $14,700,000.00 | $0.00 | See FINRA Report |
| John Vincent | 2916844 | 2 | 09/16/2015 | Customer Dispute | Settled | $14,700,000.00 | $0.00 | See FINRA Report |
| Jeffrey Charles Sernatinger | 857382 | 1 | 11/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Giles Luke Korzenecki | 1164325 | 2 | 02/12/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ariel Dumalo Carlos | 2193677 | 1 | 10/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Scott Rosen | 1449872 | 2 | 03/31/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Seibald | 1245816 | 3 | 03/31/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |