Our Staff has compiled our research into a database of FINRA Broker Disclosures for Grove Point Investments, 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 |
---|---|---|---|---|---|---|---|---|
Michael Joseph O'Malley | 810816 | 2 | 01/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Raleigh Edward Kraft | 1036719 | 5 | 12/29/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
James Penn van Putten Vink | 3107572 | 2 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
Robert Willis Lester | 1831092 | 4 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
Allie Renee King | 6681436 | 2 | 10/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Joseph Aloysius Dunn | 2091676 | 3 | 10/03/2019 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
Raleigh Edward Kraft | 1036719 | 5 | 09/27/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Thomas John MacRis | 726226 | 1 | 09/23/2019 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
Philip Mario Giordano | 6167919 | 2 | 08/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Allie Renee King | 6681436 | 2 | 08/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |