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 |
|---|---|---|---|---|---|---|---|---|
| Mark Wesley Roach | 2890668 | 1 | 04/14/2009 | Customer Dispute | Denied | $156,816.00 | $0.00 | See FINRA Report |
| William Garland Lacey | 4202141 | 3 | 03/04/2009 | Customer Dispute | Denied | $47,482.80 | $0.00 | See FINRA Report |
| Perry Brennan Worzella | 4252259 | 1 | 02/21/2009 | Customer Dispute | Denied | $38,993.10 | $0.00 | See FINRA Report |
| Prashant Thakker | 3259685 | 3 | 12/05/2008 | Customer Dispute | Denied | $39,282.70 | $0.00 | See FINRA Report |
| Michael Robert Granja | 2142889 | 1 | 10/06/2008 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Christopher Ronald Roberts | 2060813 | 1 | 10/03/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Kevin Gonzales | 3048931 | 2 | 09/19/2008 | Customer Dispute | Denied | $10,993.00 | $0.00 | See FINRA Report |
| Jessica Kirsten Mohrman | 4356919 | 1 | 02/16/2007 | Customer Dispute | Denied | $7,464.16 | $0.00 | See FINRA Report |
| Timothy Cecil Ivey | 4145280 | 1 | 01/23/2007 | Customer Dispute | Denied | $5,433.59 | $0.00 | See FINRA Report |
| Todd William Nichols | 1377849 | 2 | 12/11/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |