Our Staff has compiled our research into a database of FINRA Broker Disclosures for Nuveen 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 |
|---|---|---|---|---|---|---|---|---|
| Paola A Chavez | 7492865 | 7 | 01/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 11/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 04/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 04/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 04/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 03/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paola A Chavez | 7492865 | 7 | 03/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Landgraf Batina | 1215803 | 1 | 07/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Carl Blaze | 5007670 | 1 | 06/21/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Rybczynski | 5835258 | 1 | 05/01/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |