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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Scott Pozen | 2218777 | 1 | 01/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 01/09/2009 | Customer Dispute | Closed-No Action | $146,379.00 | $0.00 | See FINRA Report |
| Amy Suzanne Wills | 4193943 | 3 | 12/23/2008 | Customer Dispute | Denied | $11,465.80 | $0.00 | See FINRA Report |
| Scott Robert Barlow | 2924924 | 6 | 12/11/2008 | Customer Dispute | Settled | $1,077,000.00 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 12/03/2008 | Customer Dispute | Denied | $9,124.64 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 11/24/2008 | Customer Dispute | Denied | $71,445.10 | $0.00 | See FINRA Report |
| Joseph Fredric Nadeau | 2937030 | 1 | 11/06/2008 | Customer Dispute | Denied | $61,743.60 | $0.00 | See FINRA Report |
| James Russell Riley | 4156976 | 8 | 11/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Anthony Singer | 5100676 | 1 | 10/31/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Torreon | 5077845 | 3 | 10/16/2008 | Customer Dispute | Denied | $5,088.80 | $0.00 | See FINRA Report |