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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Matthew Mascio | 1073462 | 4 | 02/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Matthew Mascio | 1073462 | 4 | 06/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Matthew Mascio | 1073462 | 4 | 10/16/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Charles Sernatinger | 857382 | 1 | 11/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ariel Dumalo Carlos | 2193677 | 1 | 10/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dean Aldrich | 4956658 | 1 | 04/04/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Matthew Mascio | 1073462 | 4 | 06/18/2004 | Customer Dispute | Settled | $4,843,000.00 | $0.00 | See FINRA Report |
| Edwin Gerard Obrien | 1226768 | 1 | 01/25/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |