Our Staff has compiled our research into a database of FINRA Broker Disclosures for TP ICAP Global Markets Americas 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 |
|---|---|---|---|---|---|---|---|---|
| John Sawyer | 5275286 | 1 | 11/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Bryan Pennisi | 5145016 | 1 | 11/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Gregory Shuttie | 5146943 | 1 | 12/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Gerard Kivlehan | 4449515 | 2 | 11/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Lane | 2953693 | 1 | 05/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Gerard Kivlehan | 4449515 | 2 | 09/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nuno Filipe Antunes | 4675412 | 2 | 01/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Jack Boyd | 5146937 | 1 | 02/20/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Omar Morales | 2976218 | 1 | 05/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nuno Filipe Antunes | 4675412 | 2 | 08/22/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |