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 |
|---|---|---|---|---|---|---|---|---|
| David Thomas Pawloski | 1438717 | 6 | 10/14/1993 | Customer Dispute | Award / Judgment | $23,000.00 | $500.00 | See FINRA Report |
| Stephen Michael Kann | 1641281 | 5 | 02/12/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Kann | 1641281 | 5 | 08/28/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Kann | 1641281 | 5 | 12/01/1990 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Larry Ovadia Cohen | 3191796 | 2 | 07/02/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |