Our Staff has compiled our research into a database of FINRA Broker Disclosures for Essex 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 |
|---|---|---|---|---|---|---|---|---|
| Dan Quoc Nguyen | 4200300 | 5 | 06/04/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dan Quoc Nguyen | 4200300 | 5 | 02/25/2022 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Dan Quoc Nguyen | 4200300 | 5 | 01/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Steven Martin | 321321 | 1 | 05/20/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dan Quoc Nguyen | 4200300 | 5 | 09/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Brian Vanwinkle | 1056407 | 7 | 07/20/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Brian Vanwinkle | 1056407 | 7 | 06/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dan Quoc Nguyen | 4200300 | 5 | 12/19/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Brian Vanwinkle | 1056407 | 7 | 09/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Kenneth Brown | 5475357 | 1 | 08/22/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |