Our Staff has compiled our research into a database of FINRA Broker Disclosures for U.S. Bancorp Investments, 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 |
|---|---|---|---|---|---|---|---|---|
| James Francis Baka | 2068491 | 1 | 06/28/2010 | Customer Dispute | Settled | $2,700,000.00 | $0.00 | See FINRA Report |
| Gabriel Godoy | 4828186 | 1 | 03/29/2010 | Customer Dispute | Settled | $6,257.03 | $0.00 | See FINRA Report |
| Benjamin Scott Lachecki | 4160429 | 2 | 03/12/2010 | Customer Dispute | Denied | $18,794.80 | $0.00 | See FINRA Report |
| David Long Ellis | 1765517 | 4 | 02/16/2010 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Scott David Erisman | 2083405 | 1 | 02/05/2010 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Charles Patrick Smith | 4218022 | 2 | 01/04/2010 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Mark Casey Sears | 4451153 | 1 | 12/15/2009 | Customer Dispute | Award / Judgment | $295,108.00 | $48,513.60 | See FINRA Report |
| James Michael Carilli | 2361143 | 1 | 11/24/2009 | Customer Dispute | Denied | $132,625.00 | $0.00 | See FINRA Report |
| John Alan Grosshans | 2664848 | 9 | 11/13/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| John Alan Grosshans | 2664848 | 9 | 07/18/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |