Our Staff has compiled our research into a database of FINRA Broker Disclosures for TD Securities (USA) 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 |
|---|---|---|---|---|---|---|---|---|
| Steven T Bachman | 5829116 | 1 | 06/27/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jared Sanchez | 7461080 | 1 | 12/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Hoover | 6440838 | 1 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Jennings | 5275612 | 1 | 03/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Scott Lemone | 2013148 | 1 | 06/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Denise Rushing | 2188270 | 1 | 06/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Davies Burton Beller | 1727339 | 4 | 10/17/2011 | Customer Dispute | Settled | $67,000,000.00 | $0.00 | See FINRA Report |
| Thomas Fitzgerald | 7469439 | 1 | 08/19/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Davies Burton Beller | 1727339 | 4 | 06/22/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Soobin Kim | 7516513 | 1 | 04/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |