Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sovereign Global Advisors 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 |
|---|---|---|---|---|---|---|---|---|
| Shahab Seyedshahab Tagnavidinani | 2503652 | 1 | 05/02/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Ciro Colletti | 4577898 | 4 | 02/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Jason Lawrence Apter | 1267475 | 1 | 10/29/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Ciro Colletti | 4577898 | 4 | 07/31/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Lin Ma | 2661463 | 2 | 06/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Ciro Colletti | 4577898 | 4 | 12/08/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Ciro Colletti | 4577898 | 4 | 10/22/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Eugene Mohney | 2890043 | 1 | 06/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Edward Kaufmann | 2925106 | 1 | 01/29/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Angelo Dragotta | 3045806 | 3 | 07/17/2003 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |