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 |
|---|---|---|---|---|---|---|---|---|
| Edgar Alfred Morales | 1078765 | 2 | 07/18/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Joseph Rodriguez | 2257419 | 3 | 04/17/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Susan Alice Spancers | 2128601 | 1 | 04/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Bashein | 7672339 | 1 | 04/04/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Arthur Gillis | 1028744 | 1 | 03/15/2008 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Nancy Ann Gathers | 2517304 | 1 | 03/04/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorge Alberto Valdes | 2403666 | 1 | 02/04/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Forrest Todd Mitchell | 4820061 | 1 | 01/01/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Daniel Gothers | 2853671 | 1 | 10/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Igor A Zey | 1086097 | 7 | 09/14/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |