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 |
|---|---|---|---|---|---|---|---|---|
| Mallory Rose Hernandez | 7278187 | 1 | 07/29/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Thomas Quinn | 5699552 | 1 | 07/28/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Spencer John Olding | 3162464 | 1 | 04/20/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Dwayne Harris | 3139372 | 1 | 01/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garren D Aubrey | 6711497 | 1 | 11/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elijah Michael Everett | 6367487 | 1 | 10/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Coty Brawdy | 6106713 | 1 | 10/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Robert Bria | 7007272 | 5 | 05/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Bria | 7007272 | 5 | 05/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abyssinia Vanterpool | 6362832 | 1 | 03/25/2020 | Customer Dispute | Denied | $237,732.00 | $0.00 | See FINRA Report |