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 |
|---|---|---|---|---|---|---|---|---|
| Lisle C S Brathwaite | 2464862 | 3 | 09/14/2023 | Judgment / Lien | $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 | |
| Lisle C S Brathwaite | 2464862 | 3 | 09/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ashish Kumbhat | 5544145 | 1 | 09/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisle C S Brathwaite | 2464862 | 3 | 03/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kelly Anne Zaremba | 3247039 | 1 | 11/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Lawrence Kellerman | 1562152 | 1 | 01/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kaihua Cai | 7080831 | 1 | 03/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Joseph Sigg | 2586591 | 1 | 01/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Myers | 2874051 | 1 | 09/22/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |