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 |
|---|---|---|---|---|---|---|---|---|
| Mark Oliver Chin | 4281351 | 1 | 07/11/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Keith Burba | 5184615 | 1 | 04/10/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |