Our Staff has compiled our research into a database of FINRA Broker Disclosures for NBC Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Dewayne Bonds | 5861808 | 3 | 08/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia Lanell Minnis | 2003706 | 1 | 11/12/2015 | Customer Dispute | Closed-No Action | $834,989,000.00 | $0.00 | See FINRA Report |
| Michael Bernard Otoole | 1158699 | 1 | 07/01/2014 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| John Fontaine Keith | 2600056 | 1 | 04/02/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Clay Miller | 335170 | 4 | 12/13/2012 | Customer Dispute | Settled | $907,595.00 | $0.00 | See FINRA Report |
| Thomas Steven Johnson | 873929 | 1 | 09/10/2012 | Customer Dispute | Denied | $34,365.00 | $0.00 | See FINRA Report |
| Ahmed Y Stephens | 5247787 | 1 | 06/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Clay Miller | 335170 | 4 | 06/10/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Paul Coutre | 2446362 | 1 | 03/05/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lee Scott Steorts | 2214865 | 9 | 02/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |