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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Thomas Doyle | 2189452 | 4 | 11/29/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vasilios Takos | 2500839 | 3 | 11/19/1997 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Schiavello | 2153242 | 3 | 07/17/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David William Reimer | 2350952 | 2 | 05/12/1997 | Customer Dispute | Withdrawn | $131,500.00 | $0.00 | See FINRA Report |
| Daniel Isreal Schapiro | 2335244 | 5 | 03/11/1997 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Vasilios Takos | 2500839 | 3 | 02/12/1997 | Customer Dispute | Settled | $179,661.00 | $0.00 | See FINRA Report |
| Stephen Michael Kann | 1641281 | 5 | 11/01/1995 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Rolf Siek | 2072767 | 4 | 03/13/1995 | Customer Dispute | Award / Judgment | $50,000.00 | $15,476.00 | See FINRA Report |
| Stephen Michael Kann | 1641281 | 5 | 10/28/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andre John Peschong | 1864514 | 1 | 09/23/1994 | Customer Dispute | Award / Judgment | $34,000.00 | $5,947.22 | See FINRA Report |