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 |
|---|---|---|---|---|---|---|---|---|
| Harold James Klumbach | 1816654 | 4 | 03/04/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Fiore | 2244321 | 8 | 07/16/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Joseph Diner | 1643052 | 1 | 05/04/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Edward Widmer | 5988286 | 1 | 04/16/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Peter Romano | 2238572 | 1 | 04/02/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Giarraffa | 870958 | 1 | 06/29/1983 | Customer Dispute | Settled | $273,400.00 | $0.00 | See FINRA Report |
| Brian Joseph Mulkeen | 830870 | 3 | 08/24/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David James Goldstein | 1312311 | 1 | 05/26/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |