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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Chin | 5415370 | 1 | 08/13/2022 | Employment Separation After Allegations | $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 | |
| Kaitlyn Powell | 6666257 | 2 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Simadis | 7273471 | 1 | 01/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Fishman | 5859012 | 1 | 03/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kaitlyn Powell | 6666257 | 2 | 02/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ibrahim Sory Berete | 5538999 | 1 | 01/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Anne Zaremba | 3247039 | 1 | 11/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Allen Warkentine | 6438142 | 3 | 04/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |