Our Staff has compiled our research into a database of FINRA Broker Disclosures for Aufhauser Securities, Inc.. Search or filter the database to find more about a specific broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Keith Aufhauser | 1073318 | 8 | 06/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 09/28/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 10/13/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 04/11/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 10/05/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 08/19/1994 | Customer Dispute | Award / Judgment | $1,480.08 | $1,408.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 11/23/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Aufhauser | 1073318 | 8 | 06/11/1993 | Customer Dispute | Award / Judgment | $35,000.00 | $20,000.00 | See FINRA Report |