Our Staff has compiled our research into a database of FINRA Broker Disclosures for SVB Investment Services Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| William Irvin Woodson | 1529221 | 3 | 11/15/2007 | Customer Dispute | Closed-No Action | $145,000.00 | $0.00 | See FINRA Report |
| Pablo Martin Serna | 2476441 | 1 | 05/05/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Irvin Woodson | 1529221 | 3 | 12/13/2005 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carol Le | 7302712 | 1 | 10/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amber Deacon | 4466216 | 1 | 01/22/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Anthony Fickinger | 1562347 | 1 | 01/18/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marvin Walton Christian | 2933295 | 1 | 02/01/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Irvin Woodson | 1529221 | 3 | 12/10/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |