Our Staff has compiled our research into a database of FINRA Broker Disclosures for Barclays Capital Inc.. 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 Carr Cordia | 6073003 | 1 | 08/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Pedersen Mathis | 4322657 | 3 | 07/19/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Carol Pedersen Mathis | 4322657 | 3 | 03/12/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Orlando Jimenez | 7280139 | 1 | 03/26/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel T Kenning | 6531824 | 1 | 05/05/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Howard Eckstein | 2455569 | 1 | 03/28/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Sise | 4874917 | 1 | 08/25/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Romero | 7607693 | 1 | 05/25/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Nolan | 5881065 | 1 | 07/08/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Colby Reid | 2453199 | 1 | 06/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |