Our Staff has compiled our research into a database of FINRA Broker Disclosures for Goldman Sachs & Co. LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Fraser | 6411547 | 1 | 12/02/2022 | Customer Dispute | Denied | $441,000.00 | $0.00 | See FINRA Report |
| Michael Onwuka Nzei | 6949841 | 1 | 11/22/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Gordon Bradley Tuthill | 2223175 | 1 | 09/21/2022 | Customer Dispute | Denied | $441,600.00 | $0.00 | See FINRA Report |
| Justin J Gradolf | 5171313 | 1 | 09/16/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Maxwell Funk | 5607011 | 1 | 08/22/2022 | Customer Dispute | Pending | $2,300,000.00 | $0.00 | See FINRA Report |
| Bruce Boyer | 6202938 | 1 | 08/22/2022 | Customer Dispute | Pending | $2,300,000.00 | $0.00 | See FINRA Report |
| Holger Jens Staude | 5545861 | 1 | 11/03/2021 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Bria | 7007272 | 5 | 10/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Njavwa Mulwanda | 6106354 | 1 | 10/21/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Bria | 7007272 | 5 | 09/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |