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 |
|---|---|---|---|---|---|---|---|---|
| Alan David Schwartz | 416184 | 1 | 03/05/2013 | Customer Dispute | Settled | $19,442,700.00 | $0.00 | See FINRA Report |
| Matthew Everett Perkins | 2454792 | 3 | 03/14/2012 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Everett Perkins | 2454792 | 3 | 12/07/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Everett Perkins | 2454792 | 3 | 05/19/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |