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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Erin Cliff | 5871200 | 1 | 09/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Cary | 3013444 | 5 | 09/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Paul Frisch | 5899755 | 6 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Regina L Loeks | 4850106 | 3 | 02/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Regina L Loeks | 4850106 | 3 | 02/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corazon D Fisher | 5999378 | 1 | 11/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wilson Shyree | 6557665 | 2 | 10/13/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Cary | 3013444 | 5 | 08/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Cary | 3013444 | 5 | 05/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Nieves Aponte | 4453274 | 2 | 12/15/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |