Our Staff has compiled our research into a database of FINRA Broker Disclosures for Guggenheim 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 |
|---|---|---|---|---|---|---|---|---|
| William R Kimlingen | 1417322 | 7 | 04/02/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 03/26/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 02/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Richard Vura | 1214812 | 5 | 06/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William R Kimlingen | 1417322 | 7 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Richard Vura | 1214812 | 5 | 07/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan David Schwartz | 416184 | 1 | 03/05/2013 | Customer Dispute | Settled | $19,442,700.00 | $0.00 | See FINRA Report |