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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Timothy Smith Forsman | 2684088 | 1 | 06/08/2012 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Ahmed Y Stephens | 5247787 | 2 | 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 |
| Lee Scott Steorts | 2214865 | 9 | 02/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Randall Kurzhal | 2015537 | 1 | 07/31/2008 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Alexander Wolcott Vandenberg | 2704418 | 1 | 09/18/2007 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Lee Scott Steorts | 2214865 | 9 | 08/15/2006 | Customer Dispute | Settled | $51,661.00 | $0.00 | See FINRA Report |
| Howard Paul Eisenman | 502906 | 4 | 07/19/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |