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 |
|---|---|---|---|---|---|---|---|---|
| John Angelo Dragotta | 3045806 | 3 | 08/13/2002 | Customer Dispute | Closed-No Action | $148,719.00 | $0.00 | See FINRA Report |
| Andrew Lin Ma | 2661463 | 2 | 05/01/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Angelo Dragotta | 3045806 | 3 | 09/11/2001 | Customer Dispute | Denied | $51,600.00 | $0.00 | See FINRA Report |
| Kraig Barrence Pivnick | 3043331 | 1 | 05/25/2001 | Customer Dispute | Settled | $232,000.00 | $0.00 | See FINRA Report |
| Clifton Marcellus Coger | 3126638 | 1 | 08/22/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |