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 |
|---|---|---|---|---|---|---|---|---|
| Jared Sanchez | 7461080 | 1 | 12/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Fitzgerald | 7469439 | 1 | 08/19/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Soobin Kim | 7516513 | 1 | 04/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik Gregory Schuchard | 5964484 | 2 | 04/28/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik Gregory Schuchard | 5964484 | 2 | 01/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Dolan | 6693361 | 1 | 11/20/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Murphy | 2324862 | 1 | 02/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |