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 |
|---|---|---|---|---|---|---|---|---|
| John Ross | 7029879 | 1 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Robert Barlow | 2924924 | 6 | 06/30/2017 | Customer Dispute | Denied | $11,546.00 | $0.00 | See FINRA Report |
| Jason Daniel Rathel | 5142189 | 1 | 06/21/2017 | Customer Dispute | Denied | $14,236.00 | $0.00 | See FINRA Report |
| Tracy Timmerman | 2983113 | 2 | 06/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon E Sweeney | 5902508 | 2 | 05/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Edward Plant | 5851394 | 2 | 05/09/2017 | Customer Dispute | Denied | $11,060.00 | $0.00 | See FINRA Report |
| Karen Baxter | 6607785 | 1 | 05/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Allan Gilbertson | 1621077 | 3 | 05/05/2017 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Hans William Mathiak | 4467885 | 1 | 05/02/2017 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Amber Catherine Sutton | 5474274 | 1 | 04/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |