Our Staff has compiled our research into a database of FINRA Broker Disclosures for Park Avenue 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 |
|---|---|---|---|---|---|---|---|---|
| Norman Lee Plotkin | 1709916 | 1 | 08/21/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jay M Pollack | 1082586 | 4 | 08/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick G Manning | 5502418 | 8 | 08/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wayne L Barber | 6871625 | 1 | 07/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay M Pollack | 1082586 | 4 | 07/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Herbert J Oster | 1213537 | 1 | 07/15/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Dean M Rothman | 4200907 | 2 | 07/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean M Rothman | 4200907 | 2 | 07/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William M Katz | 2223851 | 2 | 07/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence D Cohen | 6418435 | 8 | 07/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |