Our Staff has compiled our research into a database of FINRA Broker Disclosures for Fifth Third Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Howard Puckett | 6057213 | 1 | 01/22/2014 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Gregg Glenn Eicholtz | 3248038 | 1 | 01/17/2014 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ethan Sessions | 6726916 | 5 | 12/11/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| J Christopher Pettigrew | 4195831 | 2 | 11/26/2013 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Theresa M Schmitt | 6011457 | 2 | 10/21/2013 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| William Joseph Oliver | 5020038 | 1 | 10/14/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Todd Thompson | 4829999 | 5 | 09/06/2013 | Customer Dispute | Settled | $30,802.20 | $0.00 | See FINRA Report |
| Lawrence James Davis | 4243311 | 1 | 08/10/2013 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Fallien E Schwein | 5214772 | 1 | 07/03/2013 | Customer Dispute | Settled | $61,267.30 | $0.00 | See FINRA Report |
| James Edward Doster | 1443461 | 1 | 06/02/2013 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |