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 |
|---|---|---|---|---|---|---|---|---|
| Courtney L Carlson | 7884109 | 2 | 09/24/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Michael Swan | 6081417 | 1 | 04/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark D Tishman | 5293993 | 1 | 09/15/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Matthew Oconnor | 5849697 | 1 | 02/20/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne M Leonard | 5597990 | 1 | 10/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Lee Bandel | 5235131 | 1 | 04/15/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonas Alan Merk | 2897159 | 5 | 05/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonas Alan Merk | 2897159 | 5 | 04/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonas Alan Merk | 2897159 | 5 | 04/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonas Alan Merk | 2897159 | 5 | 04/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |