Our Staff has compiled our research into a database of FINRA Broker Disclosures for Scotia Capital (USA) 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 |
|---|---|---|---|---|---|---|---|---|
| Tania Sofia Toth | 5449709 | 9 | 10/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Manuel Arturo Perez-Alonso | 6254802 | 1 | 05/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Webster Mulliken | 6205009 | 1 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Greg Michael McGinniss | 6323871 | 1 | 09/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karen Marie Midlaw | 2302343 | 1 | 01/31/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Peter Colston Newell | 2704726 | 1 | 07/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy James Timone | 4980261 | 1 | 10/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |