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.
Search by Name, CRD, Disclosures, or Damages:
| 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 | 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 | 11/23/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |