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 |
|---|---|---|---|---|---|---|---|---|
| William Monos Greenfield | 1587052 | 2 | 07/10/2018 | Regulatory | Final | $0.00 | $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 |
| Brian Joseph Mulkeen | 830870 | 3 | 09/30/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 06/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David James Vezina | 2898565 | 1 | 03/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 6 | 11/07/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tai Yuan Chen | 1394027 | 2 | 11/27/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Enrico Franco | 212661 | 2 | 08/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold James Klumbach | 1816654 | 4 | 03/04/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |