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 |
|---|---|---|---|---|---|---|---|---|
| David Marshall Livingston | 5772377 | 5 | 10/27/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P O'Sullivan | 2616436 | 1 | 10/15/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Ross Tucker | 2329301 | 2 | 06/16/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Traina | 2031399 | 3 | 05/01/1998 | Customer Dispute | Settled | $95,593.00 | $0.00 | See FINRA Report |
| Eric John Wiegandt | 1594364 | 1 | 12/10/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Allan Gilbertson | 1621077 | 3 | 11/25/1997 | Customer Dispute | Settled | $16,500.00 | $0.00 | See FINRA Report |
| Michael Gabriel Mathews | 2765774 | 1 | 10/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Traina | 2031399 | 3 | 09/20/1996 | Customer Dispute | Settled | $776,802.00 | $0.00 | See FINRA Report |
| Terrence Newman | 2229733 | 1 | 09/06/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| J Christopher Pettigrew | 4195831 | 2 | 10/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |