Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ares Management Capital Markets 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 |
|---|---|---|---|---|---|---|---|---|
| Tuan Anh Ngo | 2819426 | 2 | 11/29/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tuan Anh Ngo | 2819426 | 2 | 07/10/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christine Dorothy Jane Isip | 4914738 | 1 | 01/26/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ibrahim A Majeed | 4985694 | 1 | 08/01/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony John Pawlowski | 4337887 | 1 | 03/15/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |