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 |
|---|---|---|---|---|---|---|---|---|
| August Adam Goins | 3201262 | 1 | 10/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keishenda Maxwell | 7373315 | 2 | 10/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Matthew Palazzolo | 5515092 | 1 | 05/08/2019 | Customer Dispute | Settled | $17,684.00 | $0.00 | See FINRA Report |
| Kelsey N Harter | 7200491 | 1 | 03/12/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Chantel Williams | 6444914 | 2 | 02/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Darius J Brown | 7441733 | 2 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Marie Hogan | 4386737 | 1 | 05/15/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arryn Elizabeth Kempner | 6398988 | 2 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donee Schanae McCray | 7012850 | 2 | 04/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rene Adam Bardel | 6815099 | 5 | 01/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |