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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Kathleen Elizabeth Pitaksit | 6346334 | 1 | 03/08/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark-Anthony Hopeton Brown | 2715159 | 2 | 04/18/2006 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Tran Minh Chau | 5411995 | 1 | 11/05/2005 | Criminal | Final Disposition | $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 |
| Manuel Sobrino | 5358665 | 1 | 07/01/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Robert Rymsha | 3006164 | 1 | 10/04/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Blair Young | 2854713 | 1 | 06/30/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shant Melkonian | 6347713 | 1 | 06/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |