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 |
|---|---|---|---|---|---|---|---|---|
| Jeanne Kearns Hagar | 2151720 | 1 | 11/04/2002 | Customer Dispute | Settled | $12,445.60 | $0.00 | See FINRA Report |
| Dennis Ross Oltorik | 2303275 | 3 | 10/16/2002 | Customer Dispute | Settled | $666,000.00 | $0.00 | See FINRA Report |
| James Daniel McAfee | 2533860 | 2 | 02/01/2002 | Customer Dispute | Settled | $14,708.00 | $0.00 | See FINRA Report |
| Michael Charles Hulett | 2400340 | 1 | 12/17/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Harold James Klumbach | 1816654 | 4 | 12/13/2001 | Customer Dispute | Closed-No Action | $25,672.50 | $0.00 | See FINRA Report |
| Victor Iannelli | 2265515 | 1 | 12/11/2001 | Customer Dispute | Closed-No Action | $5,600.00 | $0.00 | See FINRA Report |
| William Gerard Tucker | 2262469 | 1 | 04/06/2001 | Customer Dispute | Denied | $14,450.00 | $0.00 | See FINRA Report |
| Frank Angelo Tomasini | 2580992 | 1 | 12/19/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jim Dinshaw Poncha | 2243358 | 1 | 03/02/1998 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| William Monos Greenfield | 1587052 | 2 | 01/05/1998 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |