Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alps Distributors, 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 |
|---|---|---|---|---|---|---|---|---|
| Gary Francis West | 2076131 | 1 | 12/13/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sean Michael Anderson | 5778913 | 1 | 06/30/2022 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Lee Daniel Cardona Rodriguez | 5526032 | 1 | 02/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jared Charles Kloos | 4697750 | 1 | 08/31/2012 | Customer Dispute | Settled | $9,303.46 | $0.00 | See FINRA Report |
| Kevin Douglas Clark | 1401304 | 1 | 01/25/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 01/25/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 11/09/2005 | Customer Dispute | Settled | $2,363.71 | $0.00 | See FINRA Report |
| Benjamin Richard Dillon | 5383922 | 1 | 09/07/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Katie Lynn Erich | 5504409 | 1 | 06/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wyatt Wilson Wall | 6095686 | 1 | 01/14/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |