Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mizuho Securities USA 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 R Barry | 6671667 | 3 | 10/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shahriyar Aghili | 4835202 | 1 | 10/16/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ahmad Moussa Fardos | 6698200 | 2 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin R Barry | 6671667 | 3 | 04/01/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Lee | 4429199 | 1 | 03/15/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sitikantha Panigrahi | 5412202 | 1 | 08/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin R Barry | 6671667 | 3 | 07/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ahmad Moussa Fardos | 6698200 | 2 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Bertram | 5900855 | 1 | 10/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cody James Chalmers | 5440564 | 1 | 03/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |