Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sutter Securities Incorporated. 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 |
|---|---|---|---|---|---|---|---|---|
| Peter Joseph Conley | 1905484 | 11 | 07/16/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gustavo Rodrigo | 3031284 | 3 | 09/13/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph McClory | 1390780 | 1 | 10/25/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Andrew Maley | 2442794 | 1 | 02/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Joseph Conley | 1905484 | 11 | 10/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Conley | 1905484 | 11 | 04/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Conley | 1905484 | 11 | 08/10/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Conley | 1905484 | 11 | 07/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Conley | 1905484 | 11 | 01/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Conley | 1905484 | 11 | 12/20/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |