Our Staff has compiled our research into a database of FINRA Broker Disclosures for OLD City Securities 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 |
|---|---|---|---|---|---|---|---|---|
| Keith A Thomas | 1297034 | 6 | 12/31/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith A Thomas | 1297034 | 6 | 10/01/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Sehn | 6741540 | 1 | 11/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith A Thomas | 1297034 | 6 | 10/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith A Thomas | 1297034 | 6 | 05/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith A Thomas | 1297034 | 6 | 05/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kosta John Moustakas | 1171093 | 1 | 03/14/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan C Gold | 5509109 | 2 | 08/01/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan C Gold | 5509109 | 2 | 10/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Schwartz | 1577821 | 1 | 12/28/2000 | Customer Dispute | Settled | $66,400,000.00 | $0.00 | See FINRA Report |