Our Staff has compiled our research into a database of FINRA Broker Disclosures for Piper Sandler & Co.. 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 |
|---|---|---|---|---|---|---|---|---|
| Carl Philip Heinle | 6645203 | 1 | 01/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David A Lucerne | 4282814 | 1 | 11/25/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Grier Blount | 1899489 | 1 | 02/08/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoff David Buxton | 6519166 | 1 | 10/18/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ralph Jason Holmes | 3025535 | 2 | 02/20/2012 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ralph Jason Holmes | 3025535 | 2 | 12/22/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Derek James Robertson | 5369180 | 3 | 10/26/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edmund Joseph Wall | 1307041 | 1 | 09/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Robert Kistinger | 5380401 | 1 | 05/14/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Abhishek Chokkanahalli Rao | 6221990 | 1 | 02/08/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |