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 Stephen Wallman | 2748286 | 2 | 08/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey David Moore | 1422494 | 1 | 06/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Soonhee Kim Cho | 2962660 | 3 | 05/24/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Howard Bart Raff | 4307069 | 2 | 04/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Jay Tollin | 2661259 | 4 | 03/28/2019 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 4 | 02/08/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tyson Samuel Lozano | 5585078 | 1 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raleigh Edward Kraft | 1036719 | 5 | 06/04/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Meyer Joiner | 7621594 | 1 | 05/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shalawn Paulette Tucker | 3064551 | 1 | 03/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |