Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mutual of America Securities 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 |
---|---|---|---|---|---|---|---|---|
Thomas Merritt Bottomley | 7110405 | 1 | 07/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Xiomara J La Grenade | 4128334 | 2 | 06/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Matthew Fredrick Ringel | 3250381 | 1 | 06/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Vinh Quang do | 5410292 | 1 | 06/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Milleshia Candace Gavin | 7548613 | 1 | 01/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Mindy Gonzalez | 7460781 | 1 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Haley Elizabeth Harrell | 7594887 | 1 | 07/05/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Dalia L Parchmon | 4808417 | 1 | 02/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Bradley John Dehaven | 7594427 | 1 | 12/17/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Raven Gabrielle Moyal | 6356681 | 1 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |