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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Lin Ma | 2661463 | 2 | 06/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Edward Kaufmann | 2925106 | 1 | 01/29/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |