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 |
|---|---|---|---|---|---|---|---|---|
| Christopher J Tortora | 2398858 | 1 | 08/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Schwartz | 5245711 | 5 | 07/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elaine D Ellis | 3215783 | 1 | 07/22/2013 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Michael David Schwartz | 5245711 | 5 | 07/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Caleb Merrill Stephens | 5878158 | 3 | 07/08/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Augusto Carlos La Puente | 6128894 | 1 | 06/28/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shane Kyle Stromei | 4313800 | 1 | 04/17/2013 | Customer Dispute | Denied | $13,800.00 | $0.00 | See FINRA Report |
| Gregg A Hews | 1642502 | 2 | 04/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen E Ingram | 6230379 | 1 | 04/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael David Schwartz | 5245711 | 5 | 03/21/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |