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 |
|---|---|---|---|---|---|---|---|---|
| Paul Kevin Ranieri | 2549842 | 1 | 12/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew R Brzoza | 5798048 | 1 | 01/24/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Moskowitz | 2480894 | 1 | 11/27/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Swiatlo | 2210496 | 1 | 04/17/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerard Bruno | 3141362 | 1 | 05/17/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Ranieri | 4228551 | 1 | 12/02/2004 | Criminal | Final Disposition | $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 |
| Alex Christopher Brooks | 2487715 | 1 | 10/21/1998 | Customer Dispute | Closed-No Action | $60,877.00 | $0.00 | See FINRA Report |
| Daniel J Schnurman | 2756462 | 1 | 01/01/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |