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 |
|---|---|---|---|---|---|---|---|---|
| James Daniel McAfee | 2533860 | 2 | 09/25/2012 | Customer Dispute | Settled | $59,000.00 | $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 | |
| Kevin George Skudera | 2190134 | 1 | 02/10/2012 | Customer Dispute | Closed-No Action | $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 | |
| 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 |
| Harold James Klumbach | 1816654 | 4 | 09/03/2009 | Customer Dispute | Settled | $18,328.20 | $0.00 | See FINRA Report |
| Dennis Ross Oltorik | 2303275 | 3 | 01/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Kenneth Lessner | 2265668 | 1 | 11/04/2008 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |