Our Staff has compiled our research into a database of FINRA Broker Disclosures for A.G.P. / Alliance Global Partners. 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 |
|---|---|---|---|---|---|---|---|---|
| James Matthew Devary | 4635875 | 3 | 04/16/2009 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Daniel Jack Goldschmidt | 5043278 | 4 | 04/03/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Schiavetti | 862923 | 7 | 03/09/2009 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Schiavetti | 862923 | 7 | 03/05/2009 | Customer Dispute | Settled | $5,847.35 | $0.00 | See FINRA Report |
| Aditya Kumar Saraogi | 4439734 | 2 | 09/24/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Francis Xavier Schiavetti | 862923 | 7 | 07/21/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lance Mitchell Kluger | 2834335 | 9 | 04/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Francis Xavier Schiavetti | 862923 | 7 | 02/06/2008 | Customer Dispute | Denied | $11,664.80 | $0.00 | See FINRA Report |
| Siddharth Dhawan | 4452006 | 2 | 12/27/2007 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eric Arthur Kleinberg | 1662003 | 1 | 09/22/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |