Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Citizens Investor Services, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Cecil Lamb | 4418087 | 1 | 04/22/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Neil Christian Firth | 4716683 | 2 | 03/14/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Weber | 2795815 | 1 | 03/11/2014 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Steven James Holt | 5317530 | 2 | 02/25/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Neil Christian Firth | 4716683 | 2 | 07/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Renee Swartz | 7574938 | 1 | 05/04/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Todd Risinger | 1999473 | 2 | 05/03/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Veltrice MacOn Higginbotham | 5468275 | 3 | 02/07/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Angela Ruth Johnson-Moore | 2485513 | 1 | 07/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anna Dickerson Franks | 4442008 | 1 | 09/28/2010 | Customer Dispute | Settled | $84,226.10 | $0.00 | See FINRA Report |