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 |
| Ahmad Moussa Fardos | 6698200 | 2 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ahmad Moussa Fardos | 6698200 | 2 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ken James Lisk | 2054802 | 1 | 10/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cody James Chalmers | 5440564 | 1 | 03/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shlomi Salant | 5357791 | 1 | 11/18/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Swiatlo | 2210496 | 1 | 04/17/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Kevin Davies | 2524933 | 1 | 03/10/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Bruckner | 2080283 | 1 | 05/20/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Schnurman | 2756462 | 1 | 01/01/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |