Our Staff has compiled our research into a database of FINRA Broker Disclosures for PTI Securities & Futures L. P.. 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 |
|---|---|---|---|---|---|---|---|---|
| Daniel John Haugh | 2162854 | 2 | 05/11/2017 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Daniel John Haugh | 2162854 | 2 | 01/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence James Parkhill | 2365898 | 1 | 05/20/2015 | Customer Dispute | Closed-No Action | $600.00 | $0.00 | See FINRA Report |
| John Wilson Neal | 3103052 | 1 | 08/27/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Haugh | 2185651 | 1 | 01/13/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |