Our Staff has compiled our research into a database of FINRA Broker Disclosures for MMA 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Burton Rowehl | 2074897 | 2 | 10/07/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William Thomas Diana | 1353977 | 2 | 06/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roxana Gomez | 6730732 | 1 | 11/04/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul George Liebezeit | 2537354 | 2 | 09/05/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shaun Pesce | 5948000 | 2 | 07/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun Pesce | 5948000 | 2 | 05/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Thomas Diana | 1353977 | 2 | 05/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura My Thai | 4681822 | 1 | 10/11/2010 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Caitlin Margaret Lam | 6933979 | 1 | 05/05/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Russell Wilkinson | 5414283 | 1 | 03/19/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |