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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Daniels | 4963520 | 1 | 10/16/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Samuel Lower | 4759364 | 1 | 12/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Patrick Eule | 4599542 | 1 | 05/15/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leo Augustine Reed | 4384330 | 1 | 12/01/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Brian Welch | 2485323 | 2 | 06/12/1998 | Customer Dispute | Closed-No Action | $149,531.00 | $0.00 | See FINRA Report |
| Michael Brian Welch | 2485323 | 2 | 06/12/1998 | Customer Dispute | Closed-No Action | $149,531.00 | $0.00 | See FINRA Report |
| Kevin Peter Farrell | 2849978 | 1 | 03/15/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darniel London | 3088523 | 1 | 07/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |