Our Staff has compiled our research into a database of FINRA Broker Disclosures for T. Rowe Price Investment Services, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Roya E Vassell | 5439251 | 1 | 03/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Kaye McGarvey | 4080288 | 5 | 10/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Noel Wells Doiron | 5398527 | 1 | 10/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lewis J Brown | 2928328 | 1 | 09/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Kaye McGarvey | 4080288 | 5 | 08/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arryn Elizabeth Kempner | 6398988 | 2 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Kaye McGarvey | 4080288 | 5 | 07/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Kaye McGarvey | 4080288 | 5 | 07/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andre Lamont Turner | 6553933 | 1 | 10/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |