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FINRA Broker Disclosures for Aufhauser Securities, Inc.

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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Displaying 8 out of 8 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Robert Keith Aufhauser1073318806/11/2011RegulatoryFinal$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318809/28/2006RegulatoryFinal$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318810/13/2005Customer DisputeWithdrawn$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318804/11/2003RegulatoryFinal$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318810/05/1998RegulatoryFinal$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318808/19/1994Customer DisputeAward / Judgment$1,480.08$1,408.00See FINRA Report
Robert Keith Aufhauser1073318811/23/1993RegulatoryFinal$0.00$0.00See FINRA Report
Robert Keith Aufhauser1073318806/11/1993Customer DisputeAward / Judgment$35,000.00$20,000.00See FINRA Report

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