Our Staff has compiled our research into a database of FINRA Broker Disclosures for DAI Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| George Roger Duff | 2768560 | 2 | 03/28/2022 | Customer Dispute | Denied | $360,000.00 | $0.00 | See FINRA Report |
| Jack James Michaletz | 5773608 | 2 | 08/10/2021 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 03/24/2021 | Customer Dispute | Settled | $2,550,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 03/08/2021 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 02/02/2021 | Customer Dispute | Settled | $457,000.00 | $0.00 | See FINRA Report |
| Jack James Michaletz | 5773608 | 2 | 01/28/2021 | Customer Dispute | Settled | $457,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 07/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 07/02/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 07/02/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 06/23/2020 | Customer Dispute | Settled | $73,000.00 | $0.00 | See FINRA Report |