Our Staff has compiled our research into a database of FINRA Broker Disclosures for Chatsworth 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 |
|---|---|---|---|---|---|---|---|---|
| Gennaro John Fulvio | 2435828 | 1 | 06/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard James Nordin | 6206777 | 1 | 05/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Henry Lovell | 1052918 | 1 | 07/19/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William James Tapert | 442542 | 1 | 01/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Swatick Majumdar | 2049001 | 2 | 07/28/1999 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Swatick Majumdar | 2049001 | 2 | 11/21/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Lydon Welch | 719991 | 1 | 04/03/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |