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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Fiore | 2244321 | 8 | 10/16/2014 | Customer Dispute | Denied | $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 | |
| 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 |
| Tai Yuan Chen | 1394027 | 2 | 11/27/2012 | Regulatory | Final | $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 | |
| Robert Joseph Fiore | 2244321 | 8 | 10/19/2012 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |