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 |
|---|---|---|---|---|---|---|---|---|
| Paul Thomas Wierzba | 1665037 | 2 | 04/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Ann Haze | 4997455 | 2 | 03/26/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Ann Haze | 4997455 | 2 | 03/22/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Walter Mannix | 5409333 | 1 | 12/02/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Juan Ramon Huerta | 5454452 | 1 | 04/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald Michael Taylor | 5649838 | 3 | 03/07/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher William Conway | 4662645 | 1 | 02/24/2011 | Customer Dispute | Settled | $19,004.10 | $0.00 | See FINRA Report |
| Brian John Keogh | 2303489 | 1 | 07/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald Michael Taylor | 5649838 | 3 | 06/25/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Joe Morrison | 5048339 | 1 | 08/13/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |