Our Staff has compiled our research into a database of FINRA Broker Disclosures for Moloney Securities Co., 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 |
|---|---|---|---|---|---|---|---|---|
| Candice E Montie | 4726799 | 1 | 03/31/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Sam Bommarito | 2240052 | 4 | 03/12/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Edward James Balmes | 2110152 | 3 | 01/22/2021 | Customer Dispute | Award / Judgment | $25,000.00 | $1,750.00 | See FINRA Report |
| Edward James Balmes | 2110152 | 3 | 07/27/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Juliann Fayard Smith | 1338081 | 8 | 11/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip James Mastalski | 322511 | 8 | 06/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Matthew Leisman | 2113061 | 8 | 04/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Kurt Saxenmeyer | 1269690 | 5 | 12/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip James Mastalski | 322511 | 8 | 08/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William David Fok | 6259877 | 1 | 05/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |