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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Kaye McGarvey | 4080288 | 5 | 07/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Nyce | 7313600 | 1 | 06/15/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cameron Howard Carty | 5598694 | 1 | 05/15/2015 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Christina Rene Nolan | 7200549 | 1 | 02/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andre Lamont Turner | 6553933 | 1 | 10/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Tierney | 6313834 | 1 | 04/13/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Courtney L Carlson | 7884109 | 2 | 03/27/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Corey R Pride | 2767671 | 1 | 02/07/2014 | Customer Dispute | Denied | $217,000.00 | $0.00 | See FINRA Report |
| Brandon Ross Cuellar | 4943777 | 1 | 05/23/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keishenda Maxwell | 7373315 | 2 | 08/27/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |