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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Gerard Michaletz | 1327534 | 12 | 06/23/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 05/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 01/28/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 01/17/2020 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Michaletz | 1327534 | 12 | 12/04/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Roger Duff | 2768560 | 2 | 04/01/2003 | Customer Dispute | Closed-No Action | $43,419.00 | $0.00 | See FINRA Report |