Our Staff has compiled our research into a database of FINRA Broker Disclosures for American Portfolios Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Brian James Dougherty | 5844453 | 2 | 06/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard Jeffrey Douglas | 1043662 | 3 | 11/30/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Herbert Saraga | 844223 | 4 | 10/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Buddy Martin Levy | 2387806 | 1 | 07/28/2021 | Customer Dispute | Settled | $8,154.00 | $0.00 | See FINRA Report |
| Brett David Shofner | 2723338 | 3 | 06/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Rand Miller | 5393445 | 4 | 06/02/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Richard Lawrence Lane | 5196009 | 2 | 01/21/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brad Richard Small | 3173556 | 2 | 01/04/2021 | Customer Dispute | Settled | $24,750.00 | $0.00 | See FINRA Report |
| Reginald Norman Daniels | 1599887 | 28 | 12/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Norman Daniels | 1599887 | 28 | 12/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |