Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ladenburg Thalmann & Co. 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 |
|---|---|---|---|---|---|---|---|---|
| John William Larson | 2298150 | 2 | 11/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hugh David Coherd | 2084560 | 2 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Robert Hickman | 4644088 | 1 | 10/14/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alfred Riccio | 4734960 | 1 | 03/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce David Siegel | 2432159 | 2 | 01/26/2009 | Customer Dispute | Denied | $6,550.00 | $0.00 | See FINRA Report |
| Hugh David Coherd | 2084560 | 2 | 03/15/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce David Siegel | 2432159 | 2 | 02/20/2003 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Thomas Ernest Ferrell | 859715 | 1 | 12/22/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark James McLain | 2429000 | 5 | 10/20/2000 | Customer Dispute | Settled | $7,391.61 | $0.00 | See FINRA Report |
| Mark James McLain | 2429000 | 5 | 07/17/2000 | Customer Dispute | Denied | $60,207.00 | $0.00 | See FINRA Report |