Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rothschild Investment LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Samuel Kruger | 1356947 | 2 | 10/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Craig Atseff | 4868153 | 1 | 04/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Samuel Kruger | 1356947 | 2 | 01/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Douglas Lenart | 736107 | 1 | 03/30/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bart Richard Bonga | 2798234 | 1 | 07/09/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Paul Geringer | 4782106 | 1 | 06/16/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Edward Geringer | 1000709 | 1 | 06/16/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Nicholas Callahan | 38530 | 1 | 08/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |