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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Connors | 2118369 | 1 | 05/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Johnathan Charles Breen | 6314805 | 1 | 10/13/2018 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Harold James Klumbach | 1816654 | 4 | 02/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Horace Seely-Brown | 2921928 | 1 | 09/01/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 10/16/2014 | Customer Dispute | Denied | $0.00 | $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 |
| 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 |
| Dennis Ross Oltorik | 2303275 | 3 | 01/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |