Our Staff has compiled our research into a database of FINRA Broker Disclosures for Jefferies LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Julian Rodrigo Soto | 4813707 | 1 | 02/28/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pablo Leonel Gherardi | 4602689 | 2 | 01/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy Sachs | 7402332 | 1 | 04/28/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Penelope Diane Kiel | 2523562 | 2 | 11/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen Bena Armstrong | 2051124 | 3 | 09/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Penelope Diane Kiel | 2523562 | 2 | 09/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Lusby | 6425566 | 2 | 08/17/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Harris Grau | 6520956 | 1 | 02/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karen Bena Armstrong | 2051124 | 3 | 02/08/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander James Gavin | 6837110 | 1 | 11/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |