Our Staff has compiled our research into a database of FINRA Broker Disclosures for BOFA Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Tanner Casey Di Lello | 6503598 | 1 | 05/15/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mohammed Naeem Hasan | 7308478 | 2 | 09/26/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisle C S Brathwaite | 2464862 | 3 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Divine Uchechukwu Linus | 7568418 | 1 | 04/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mohammed Naeem Hasan | 7308478 | 2 | 03/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Anna Tarr | 7152056 | 1 | 03/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pedro Martini Gomes Pereira | 6067491 | 1 | 02/24/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Allen Warkentine | 6438142 | 3 | 10/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisle C S Brathwaite | 2464862 | 3 | 09/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Moynihan | 4553207 | 1 | 09/05/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |