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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Everett Perkins | 2454792 | 3 | 03/14/2012 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Richard Vura | 1214812 | 5 | 12/15/2011 | Judgment / Lien | $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 |
| Gary Richard Vura | 1214812 | 5 | 03/24/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Richard Vura | 1214812 | 5 | 02/11/2010 | Judgment / Lien | $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 |
| John Christopher Calabrese | 2352660 | 1 | 06/03/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Louis Ferrarese | 1872383 | 1 | 10/25/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |