Our Staff has compiled our research into a database of FINRA Broker Disclosures for TD Private Client Wealth 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 |
|---|---|---|---|---|---|---|---|---|
| Chi Mak | 5045071 | 2 | 11/27/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Chi Mak | 5045071 | 2 | 11/09/2023 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| John Leroy Ranft | 1629438 | 1 | 08/02/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlyn Cattesha, Renee Telfer- Osariemen | 7601363 | 1 | 01/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Thomas | 6877308 | 3 | 02/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Thomas | 6877308 | 3 | 10/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Thomas | 6877308 | 3 | 10/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cristian David Foronda Orozco | 6695460 | 9 | 09/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cristian David Foronda Orozco | 6695460 | 9 | 09/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cristian David Foronda Orozco | 6695460 | 9 | 09/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |