Our Staff has compiled our research into a database of FINRA Broker Disclosures for Tullett Prebon Financial Services 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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Lawrence Kavanagh | 4622999 | 1 | 07/27/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Wren Berry | 3194153 | 1 | 09/12/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Justin Glassman | 2717136 | 1 | 01/16/2001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Timothy Joseph Welsh | 1191882 | 1 | 04/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Waiter Hatfield | 4737076 | 1 | 11/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Gonzales | 2298005 | 2 | 05/20/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Bardelli | 2796631 | 1 | 01/16/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Stanley Puetzer | 2199224 | 2 | 07/17/1997 | Customer Dispute | Settled | $32,342.20 | $0.00 | See FINRA Report |
| John G Reardon | 2042196 | 2 | 03/27/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Charlton | 1580437 | 1 | 10/29/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |