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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Ross Oltorik | 2303275 | 3 | 10/18/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 7 | 09/27/2013 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| John David Smith | 1458884 | 1 | 09/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 10/19/2012 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| James Daniel McAfee | 2533860 | 2 | 09/25/2012 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Kevin George Skudera | 2190134 | 1 | 02/10/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 06/02/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Harry Panchookian | 1814861 | 1 | 10/12/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Harold James Klumbach | 1816654 | 4 | 09/03/2009 | Customer Dispute | Settled | $18,328.20 | $0.00 | See FINRA Report |
| Dennis Ross Oltorik | 2303275 | 3 | 01/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |