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 |
|---|---|---|---|---|---|---|---|---|
| Julia Ann Erickson | 1411581 | 1 | 10/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean B Colman | 4031329 | 3 | 08/03/2009 | Customer Dispute | Settled | $14,000,000.00 | $0.00 | See FINRA Report |
| Sergio Romeo | 2084020 | 1 | 06/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean B Colman | 4031329 | 3 | 02/09/2009 | Customer Dispute | Settled | $11,014,000.00 | $0.00 | See FINRA Report |
| Sean B Colman | 4031329 | 3 | 08/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen R Mooney | 4033668 | 1 | 07/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark-Anthony Hopeton Brown | 2715159 | 2 | 08/22/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Andrew Muller | 1847149 | 1 | 07/13/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alexandria Dropp | 2639405 | 1 | 09/27/1997 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |