Our Staff has compiled our research into a database of FINRA Broker Disclosures for SAN Blas Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Douglas J Bauerband | 2850269 | 3 | 07/07/2023 | Customer Dispute | Withdrawn | $16,000.00 | $0.00 | See FINRA Report |
| Shawn Conan Spellacy | 2275119 | 10 | 06/30/2023 | Customer Dispute | Settled | $719,415.00 | $0.00 | See FINRA Report |
| Maurice Lawrence Naylon | 831841 | 3 | 06/27/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Lee Feinberg | 6109781 | 2 | 12/09/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James L Workman | 4384208 | 1 | 10/21/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrea Mathison | 2822634 | 1 | 10/12/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bradley Allen Fay | 1784060 | 3 | 10/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Edward McGee | 1177542 | 10 | 02/25/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Dennis Chung Kuo Ku | 4617869 | 1 | 10/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alan Lee Feinberg | 6109781 | 2 | 08/27/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |