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 |
|---|---|---|---|---|---|---|---|---|
| Lee Daniel Cardona Rodriguez | 5526032 | 1 | 02/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Horton Martin | 2200470 | 2 | 04/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory John Stitt | 1594892 | 1 | 08/13/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Horton Martin | 2200470 | 2 | 10/10/2012 | Judgment / Lien | $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 |
| William John Nasgovitz | 344990 | 10 | 01/25/2008 | Regulatory | Final | $0.00 | $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 | 11/09/2005 | Customer Dispute | Settled | $2,363.71 | $0.00 | See FINRA Report |
| Wyatt Wilson Wall | 6095686 | 1 | 01/14/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Vages | 6581450 | 1 | 07/21/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |