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 | 12/04/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Daniel Katzenstein | 2380645 | 3 | 11/20/2015 | Customer Dispute | Settled | $14,023.00 | $0.00 | See FINRA Report |
| Steven Daniel Katzenstein | 2380645 | 3 | 07/07/2014 | Customer Dispute | Settled | $449,225.00 | $0.00 | See FINRA Report |
| Joey Dale Miller | 6175826 | 3 | 10/05/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cornelius McAuliffe | 1787693 | 2 | 04/20/2009 | Customer Dispute | Denied | $20,000.00 | $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 |
| Brett Dickinson | 7809375 | 1 | 05/25/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cornelius McAuliffe | 1787693 | 2 | 02/28/2000 | Customer Dispute | Settled | $19,369.00 | $0.00 | See FINRA Report |