Our Staff has compiled our research into a database of FINRA Broker Disclosures for Fieldpoint Private Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Kyle Michael Wool | 4238101 | 4 | 10/02/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jerome Frank Niles | 3076666 | 1 | 10/02/2023 | Customer Dispute | Pending | $1,477,270.00 | $0.00 | See FINRA Report |
| Joshua Anthony Shipley | 6631027 | 1 | 10/02/2023 | Customer Dispute | Pending | $1,477,270.00 | $0.00 | See FINRA Report |
| Raymond Edward Guarini | 4699488 | 1 | 09/13/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Vincent Restagno | 5532695 | 3 | 07/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Restagno | 5532695 | 3 | 03/07/2022 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Michael Vincent Restagno | 5532695 | 3 | 02/09/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Joshua Ross Lipman | 2910332 | 2 | 08/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Thomas Pawloski | 1438717 | 6 | 04/09/2020 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Doyle | 2189452 | 4 | 12/20/2019 | Customer Dispute | Settled | $17,231.00 | $0.00 | See FINRA Report |