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 |
|---|---|---|---|---|---|---|---|---|
| Sean Michael Anderson | 5778913 | 1 | 06/30/2022 | Customer Dispute | Settled | $400,000.00 | $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 | 11/09/2005 | Customer Dispute | Settled | $2,363.71 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 12/23/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 07/12/2001 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Jeffrey James Kohl | 2343012 | 1 | 03/19/2001 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 03/19/2001 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 01/22/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 12/18/2000 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 11/02/2000 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |