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 |
|---|---|---|---|---|---|---|---|---|
| Michael West Bassett | 5383741 | 1 | 12/09/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Raymond | 4245519 | 1 | 03/21/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alexander Legge | 717195 | 2 | 04/02/2001 | Customer Dispute | Settled | $87,500.00 | $0.00 | See FINRA Report |
| Jeffrey Alexander Legge | 717195 | 2 | 02/13/2001 | Customer Dispute | Settled | $79,314.00 | $0.00 | See FINRA Report |
| Todd Andrew Phillips | 2769556 | 1 | 07/14/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Rasmussen | 4414891 | 1 | 08/28/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ross James Patten | 2806918 | 2 | 03/13/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven David Hull | 3104878 | 1 | 06/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Mathew Zachar | 4192097 | 1 | 05/31/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Dunne | 866444 | 1 | 08/12/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |