Our Staff has compiled our research into a database of FINRA Broker Disclosures for ICAP 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Gerard McLaughlin | 2006477 | 1 | 10/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Sawyer | 5275286 | 1 | 11/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Gerard Kivlehan | 4449515 | 2 | 11/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William George Giarusso | 1922702 | 1 | 05/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Lane | 2953693 | 1 | 05/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Gerard Kivlehan | 4449515 | 2 | 09/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Francis Murphy | 1483320 | 1 | 12/18/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Parisi | 1674797 | 1 | 12/18/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Michael Agola | 1678211 | 1 | 12/18/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John G Reardon | 2042196 | 2 | 03/27/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |