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 |
|---|---|---|---|---|---|---|---|---|
| Steven Daniel Katzenstein | 2380645 | 3 | 03/13/2023 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| George Roger Duff | 2768560 | 2 | 03/28/2022 | Customer Dispute | Denied | $360,000.00 | $0.00 | See FINRA Report |
| Cornelius McAuliffe | 1787693 | 2 | 04/20/2009 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |