Our Staff has compiled our research into a database of FINRA Broker Disclosures for Excel Securities & Associates, 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 |
|---|---|---|---|---|---|---|---|---|
| C Christopher Stafford | 2170589 | 10 | 01/13/2003 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Jamie Thomas Fisher | 2628109 | 3 | 11/20/2002 | Customer Dispute | Denied | $75,250.00 | $0.00 | See FINRA Report |
| Stephen Patrick Hartmann | 2629236 | 3 | 09/04/2002 | Customer Dispute | Denied | $16,610.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 07/01/2002 | Customer Dispute | Award / Judgment | $824,000.00 | $759,744.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 06/29/2001 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 10/30/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 10/28/1999 | Customer Dispute | Denied | $72,000.00 | $0.00 | See FINRA Report |
| C Christopher Stafford | 2170589 | 10 | 10/29/1998 | Customer Dispute | Withdrawn | $110,000.00 | $0.00 | See FINRA Report |