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 | 11/11/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sarabjeet Singh Thapar | 2699306 | 4 | 06/23/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Arthur Newman | 3041185 | 7 | 11/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry P Toole | 3142901 | 2 | 11/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry P Toole | 3142901 | 2 | 11/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tai Yuan Chen | 1394027 | 2 | 06/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rai Ja Hsieh | 2703475 | 1 | 06/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Fiore | 2244321 | 8 | 07/19/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Joseph Diner | 1643052 | 1 | 05/04/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |