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 |
|---|---|---|---|---|---|---|---|---|
| Larry Dean Lavoice | 2125013 | 3 | 12/08/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Thomas Pawloski | 1438717 | 6 | 05/25/2017 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| David Thomas Pawloski | 1438717 | 6 | 08/01/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Anthony T Devito | 6061353 | 1 | 04/20/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Peter Sandler | 2847717 | 2 | 04/16/2015 | Customer Dispute | Closed-No Action | $309,796.00 | $0.00 | See FINRA Report |
| David Thomas Pawloski | 1438717 | 6 | 08/22/2014 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Joshua Ross Lipman | 2910332 | 2 | 02/07/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vasilios Takos | 2500839 | 3 | 01/29/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Larry Dean Lavoice | 2125013 | 3 | 02/03/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Michael Wool | 4238101 | 4 | 11/09/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |