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 |
|---|---|---|---|---|---|---|---|---|
| Patrick John Ratz | 4309056 | 2 | 07/09/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Burger | 35526 | 1 | 12/17/2007 | Customer Dispute | Denied | $69,233.00 | $0.00 | See FINRA Report |
| Enrico Franco | 212661 | 2 | 08/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly L Vostal | 3271615 | 2 | 07/11/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 02/23/2005 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Harold William Smith | 2547981 | 1 | 10/26/2004 | Customer Dispute | Closed-No Action | $11,213.00 | $0.00 | See FINRA Report |
| William John Roberts | 2627689 | 1 | 10/22/2004 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 06/23/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kelly L Vostal | 3271615 | 2 | 01/30/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patricia Theismann Chorowiec | 853266 | 1 | 12/02/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |