Our Staff has compiled our research into a database of FINRA Broker Disclosures for BMO Capital Markets Corp.. 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 |
|---|---|---|---|---|---|---|---|---|
| Doo Sik Lew | 4991569 | 1 | 09/20/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jessica Zilo | 4770396 | 1 | 10/11/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dane Robert Nielson | 6667961 | 1 | 06/13/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marianne Sullivan | 4462098 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Luke Dolan | 2831391 | 1 | 12/14/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley R Hyde | 5089432 | 1 | 08/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Davida | 6373053 | 1 | 08/18/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Borden | 7203774 | 1 | 03/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sterne Keith Altholz | 5954100 | 1 | 01/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dawn Mi Chan | 4172411 | 1 | 09/01/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |