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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Evan Karnovsky | 4799915 | 1 | 07/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chen Feng Tien | 4032073 | 1 | 01/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Tyler Myers | 6343524 | 1 | 09/13/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Wcislo | 6655400 | 1 | 08/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Prime | 1876499 | 1 | 05/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jared Scott Holz | 4221628 | 1 | 03/01/2021 | 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 |
| David Bruce Hilder | 2178978 | 2 | 02/03/2020 | Judgment / Lien | $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 |