Our Staff has compiled our research into a database of FINRA Broker Disclosures for Reef Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Dean Shepherd | 5731348 | 1 | 07/20/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 11/01/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 04/11/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Ross Richards | 2680389 | 2 | 01/20/2015 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| James Ross Richards | 2680389 | 2 | 07/21/2014 | Customer Dispute | Settled | $42,500.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 07/15/2013 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 05/09/2011 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 12/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 10/06/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Frank Mauceli | 2330829 | 7 | 12/21/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |