Our Staff has compiled our research into a database of FINRA Broker Disclosures for Athene 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 |
|---|---|---|---|---|---|---|---|---|
| Martin Philip Klein | 2711489 | 1 | 04/04/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Roy Higgins | 2844981 | 16 | 12/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 16 | 11/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew R. Cason | 4833233 | 2 | 09/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 16 | 04/03/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 16 | 05/09/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 16 | 12/27/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sabrina Rhea Cordes | 4708311 | 2 | 06/04/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Roy Higgins | 2844981 | 16 | 03/16/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 16 | 10/29/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |