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 |
|---|---|---|---|---|---|---|---|---|
| Steven Michael Cook | 4207785 | 2 | 01/20/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Kantor | 4402343 | 2 | 10/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Kantor | 4402343 | 2 | 09/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis James Elliott | 3167567 | 1 | 07/31/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Basil Yorke Clarke | 4403686 | 1 | 03/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Daniel Reagan | 2915910 | 1 | 01/16/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Serina Copanas | 5079369 | 1 | 10/03/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Cook | 4207785 | 2 | 07/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Nicholas Cefolo | 4076332 | 1 | 03/04/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |