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 |
|---|---|---|---|---|---|---|---|---|
| Steven Arthur Newman | 3041185 | 7 | 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 | 7 | 02/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 7 | 01/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarabjeet Singh Thapar | 2699306 | 4 | 11/11/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Joseph Mulkeen | 830870 | 3 | 09/30/2015 | Regulatory | Final | $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 | 06/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Newman | 3041185 | 7 | 11/07/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |