Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pershing 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 |
|---|---|---|---|---|---|---|---|---|
| Kristi Marie Albertsen | 2706279 | 1 | 06/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Frisch | 5899755 | 6 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Henderson | 5859820 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Frisch | 5899755 | 6 | 10/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Bryant Turner | 1374679 | 1 | 06/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Cary | 3013444 | 5 | 05/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel Nathan Byers | 7839564 | 1 | 03/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karine Vega | 6862931 | 1 | 12/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juliane Rodriguez | 6005206 | 1 | 11/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Ludwig | 4246885 | 1 | 10/25/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |