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 |
|---|---|---|---|---|---|---|---|---|
| Connor Seedall | 6418732 | 1 | 03/11/2024 | Customer Dispute | Pending | $329,000.00 | $0.00 | See FINRA Report |
| Joey Dale Miller | 6175826 | 3 | 03/11/2024 | Customer Dispute | Pending | $329,000.00 | $0.00 | See FINRA Report |
| Joey Dale Miller | 6175826 | 3 | 10/11/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Daniel Katzenstein | 2380645 | 3 | 03/13/2023 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Justin Scott MacKie | 4736154 | 1 | 02/22/2023 | Customer Dispute | Settled | $257,500.00 | $0.00 | See FINRA Report |
| 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 |
| Jaime Facchino | 4699298 | 1 | 05/31/2021 | Employment Separation After Allegations | $0.00 | $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| Joseph Gerard Michaletz | 1327534 | 12 | 03/08/2021 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |