Our Staff has compiled our research into a database of FINRA Broker Disclosures for Aldwych Securities 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 |
|---|---|---|---|---|---|---|---|---|
| Alejandro Ochoa | 4057702 | 2 | 01/11/2011 | Customer Dispute | Closed-No Action | $55,000.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 04/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 04/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Ochoa | 4057702 | 2 | 07/14/2003 | Customer Dispute | Denied | $16,226.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 07/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |