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 |
|---|---|---|---|---|---|---|---|---|
| David Bruce Hilder | 2178978 | 2 | 10/16/2018 | Judgment / Lien | $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 | |
| 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 |
| 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 |
| Brandon Wayne Lee | 5841877 | 1 | 01/22/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shlomi Salant | 5357791 | 1 | 11/18/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luke Leopold Lawrence | 4388469 | 1 | 07/13/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Haendel St Juste | 3011744 | 1 | 04/08/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |