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 | 01/29/2016 | Regulatory | Final | $0.00 | $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 |