Our Staff has compiled our research into a database of FINRA Broker Disclosures for Uhlmann Price 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 |
|---|---|---|---|---|---|---|---|---|
| Joel Morton Newman | 2718754 | 2 | 12/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Morton Newman | 2718754 | 2 | 10/07/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Fitzgerald Dunne | 1676474 | 1 | 08/23/2017 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Gordon Eliot Fallone | 1767760 | 3 | 05/09/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick J Lauderdale | 2299611 | 1 | 01/29/2007 | Customer Dispute | Settled | $296,971.00 | $0.00 | See FINRA Report |
| James Patrick Kozak | 2237880 | 1 | 04/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Eliot Fallone | 1767760 | 3 | 06/09/2004 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Gordon Eliot Fallone | 1767760 | 3 | 06/09/1999 | Customer Dispute | Denied | $185,000.00 | $0.00 | See FINRA Report |
| John Joseph Welsh | 714349 | 1 | 01/22/1981 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |