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FINRA Broker Disclosures for TD Private Client Wealth LLC

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.

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Displaying 21-30 out of 32 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Lorraine Hernandez Forbes4642695306/20/2018FinancialFinal$0.00$0.00See FINRA Report
Derrik Simmons7048040311/22/2017FinancialFinal$0.00$0.00See FINRA Report
Derrik Simmons7048040311/22/2017FinancialFinal$0.00$0.00See FINRA Report
Derrik Simmons7048040311/22/2017FinancialFinal$0.00$0.00See FINRA Report
Harrison Frederick Fosnocht7482175103/21/2017FinancialFinal$0.00$0.00See FINRA Report
Luis Novo5725940311/21/2016FinancialFinal$0.00$0.00See FINRA Report
Luis Novo5725940311/09/2016FinancialFinal$0.00$0.00See FINRA Report
Luis Novo5725940308/30/2016FinancialFinal$0.00$0.00See FINRA Report
Michael Avenoso7269878209/03/2015FinancialFinal$0.00$0.00See FINRA Report
Leonard Descartes5139654102/19/2015FinancialFinal$0.00$0.00See FINRA Report

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