Our Staff has compiled our research into a database of FINRA Broker Disclosures for USAA Investment Services Company. 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 |
|---|---|---|---|---|---|---|---|---|
| Christine Syrena Castillo | 4788549 | 1 | 01/11/2017 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Neal Litton | 6091023 | 1 | 05/12/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Andrew Stokes | 5037023 | 1 | 04/12/2016 | Customer Dispute | Closed-No Action | $13,325.00 | $0.00 | See FINRA Report |
| John Ross Ballantyne | 5289869 | 1 | 07/03/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Guadalupe Cerda | 5888800 | 2 | 10/04/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Juan Guadalupe Cerda | 5888800 | 2 | 11/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Patrick Murphy | 3134000 | 1 | 11/01/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |