Our Staff has compiled our research into a database of FINRA Broker Disclosures for American Trust Investment Services, 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 |
---|---|---|---|---|---|---|---|---|
James Francis Dever | 1840373 | 4 | 10/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Christopher Richard Wurtzinger | 1921024 | 5 | 09/12/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Mark Joseph Angioletti | 705134 | 1 | 02/15/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
Richard Donlon Oreilly | 845839 | 8 | 02/02/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Gerard Alexander Phillips | 814128 | 2 | 11/02/2004 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
Karl Francis Birkenfeld | 1342720 | 10 | 03/18/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Alan Timothy Rodriguez | 1592580 | 15 | 10/28/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Leonidas Kopulos | 712338 | 6 | 09/30/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
Alan Timothy Rodriguez | 1592580 | 15 | 05/24/2002 | Customer Dispute | Settled | $224,000.00 | $0.00 | See FINRA Report |
Alan Timothy Rodriguez | 1592580 | 15 | 04/05/2002 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |