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 |
|---|---|---|---|---|---|---|---|---|
| Jason Todd Rizzo | 4628686 | 2 | 06/26/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Jay Mowchan | 2648001 | 1 | 06/05/2009 | Customer Dispute | Denied | $14,218.70 | $0.00 | See FINRA Report |
| Jeffrey Joseph Moore | 3053700 | 1 | 05/29/2009 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| David R Snider | 5963806 | 1 | 04/30/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 04/20/2009 | Customer Dispute | Settled | $29,284.60 | $0.00 | See FINRA Report |
| David Hunter Marshall | 4844368 | 1 | 04/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amy Suzanne Wills | 4193943 | 3 | 03/25/2009 | Customer Dispute | Denied | $5,250.00 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 02/24/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Scott Robert Barlow | 2924924 | 6 | 02/12/2009 | Customer Dispute | Denied | $56,451.00 | $0.00 | See FINRA Report |
| Michael Robert Lydigsen | 4937554 | 1 | 01/25/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |