Our Staff has compiled our research into a database of FINRA Broker Disclosures for TFS Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Sarabjeet Singh Thapar | 2699306 | 4 | 08/16/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Sarabjeet Singh Thapar | 2699306 | 4 | 07/05/2022 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Enrico Franco | 212661 | 2 | 06/22/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Connors | 2118369 | 1 | 05/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Monos Greenfield | 1587052 | 2 | 07/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold James Klumbach | 1816654 | 4 | 02/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 6 | 10/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick John Ratz | 4309056 | 2 | 08/07/2017 | Customer Dispute | Settled | $19,275.00 | $0.00 | See FINRA Report |
| Brian Joseph Mulkeen | 830870 | 3 | 06/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 6 | 02/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |