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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Underwood | 4779828 | 2 | 12/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Underwood | 4779828 | 2 | 12/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stefanie Marie Comer | 6265103 | 5 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stefanie Marie Comer | 6265103 | 5 | 08/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julienne Rich | 4448795 | 1 | 02/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelius D Evans | 4985535 | 2 | 10/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cecil Rockhill | 6641079 | 2 | 07/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chantel Williams | 6444914 | 2 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cecil Rockhill | 6641079 | 2 | 03/25/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tiyanna C Harrison | 7601605 | 1 | 02/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |