Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Leaders Group, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Thomas Steffl | 4452047 | 1 | 03/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Dellasala | 1044178 | 6 | 02/13/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reece Thomas Padavan | 2234065 | 1 | 12/09/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Jerome Moore | 2730569 | 1 | 12/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terry Curtis Robertson | 1523139 | 3 | 11/12/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alain Evan Wittman | 2823993 | 1 | 11/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Bentley Wold | 1710944 | 3 | 10/29/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward McFarlane | 1266863 | 4 | 10/05/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Farid Mokhtarian | 2788067 | 3 | 10/04/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alvin Lawrence McGill | 1269862 | 4 | 09/17/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |