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 |
|---|---|---|---|---|---|---|---|---|
| Derek James Robertson | 5369180 | 3 | 01/25/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Derek James Robertson | 5369180 | 3 | 11/23/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Justin Marino | 4241838 | 1 | 08/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacques Desaintphalle | 1524612 | 1 | 11/17/2008 | Customer Dispute | Settled | $125,000,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Krieter | 6249334 | 1 | 08/27/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Harmon Pharr | 6986170 | 1 | 07/31/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Stephen Horvath | 2710222 | 2 | 06/24/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Stephen Horvath | 2710222 | 2 | 12/01/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyler Howland Nugent | 5505111 | 1 | 03/08/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shelby Noble | 5680884 | 1 | 09/05/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |