Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rose & Co. Capital 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 |
|---|---|---|---|---|---|---|---|---|
| Steven Christopher Bender | 2650187 | 1 | 08/27/2018 | Customer Dispute | Settled | $52,783.00 | $0.00 | See FINRA Report |
| Simon Alexander Rose | 2176436 | 1 | 05/28/1998 | Customer Dispute | Award / Judgment | $0.00 | $2,500.00 | See FINRA Report |