Our Staff has compiled our research into a database of FINRA Broker Disclosures for Imperial Capital, 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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Joseph Ecclesine | 1319229 | 1 | 10/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Paul Alpin | 2524796 | 1 | 06/26/2001 | Customer Dispute | Settled | $46,688.00 | $0.00 | See FINRA Report |
| Randall Evan Wooster | 1822107 | 2 | 04/15/2001 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Randall Evan Wooster | 1822107 | 2 | 04/15/2001 | Customer Dispute | Closed-No Action | $700,000.00 | $0.00 | See FINRA Report |
| John Erick MacK | 4235278 | 1 | 02/07/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |