Our Staff has compiled our research into a database of FINRA Broker Disclosures for SVB 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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Scott Berens | 4964979 | 1 | 11/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas G. Mekas | 6311832 | 1 | 12/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Barry Dubin | 3231063 | 1 | 11/19/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Glynn Perryman | 4624925 | 2 | 03/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Glynn Perryman | 4624925 | 2 | 10/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christine Marie Collins | 2442154 | 2 | 09/11/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christine Marie Collins | 2442154 | 2 | 06/26/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Leerink | 1718986 | 1 | 09/17/2003 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Jason Scott Auerbach | 2939417 | 1 | 04/01/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Dean Blake | 2771850 | 1 | 07/15/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |