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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Scott Klotz | 5018961 | 1 | 04/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Ozimek | 4435908 | 1 | 12/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Cummings Johnson | 2419477 | 1 | 01/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Nasgovitz | 344990 | 10 | 11/01/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Meyncke | 1074048 | 1 | 03/11/1991 | Customer Dispute | Settled | $14,290.00 | $0.00 | See FINRA Report |
| Jerry Ralph Raio | 1754525 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |