Our Staff has compiled our research into a database of FINRA Broker Disclosures for TCW Funds Distributors 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 |
|---|---|---|---|---|---|---|---|---|
| Erick Paul Coan | 2366454 | 1 | 08/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lori Ann Gilchrist | 2115781 | 1 | 07/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Mora | 6086420 | 1 | 05/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene A Paine | 1851372 | 1 | 09/10/2003 | Customer Dispute | Settled | $11,814.20 | $0.00 | See FINRA Report |