Our Staff has compiled our research into a database of FINRA Broker Disclosures for Keefe, Bruyette & Woods, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas James Cox | 2594977 | 3 | 06/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Cox | 2594977 | 3 | 03/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Cox | 2594977 | 3 | 01/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Anthony Marino | 5049527 | 5 | 07/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 08/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 06/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew T Fenwick | 5440932 | 1 | 10/11/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Tomas Dellisola | 2269616 | 2 | 12/08/2000 | Customer Dispute | Settled | $1,159,190.00 | $0.00 | See FINRA Report |