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 |
|---|---|---|---|---|---|---|---|---|
| John William Catalfio | 2092083 | 3 | 12/05/2000 | Customer Dispute | Settled | $6,311.00 | $0.00 | See FINRA Report |
| Raffaele Gambardella | 2448073 | 1 | 09/20/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul William Morse | 2214972 | 3 | 08/28/2000 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Alejandro Jose Hernandez Baduy | 2558522 | 3 | 07/01/2000 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Salvatore John Renzo | 2518851 | 3 | 04/24/2000 | Customer Dispute | Denied | $8,671.87 | $0.00 | See FINRA Report |
| Lance Mitchell Kluger | 2834335 | 9 | 04/24/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Anthony Asmar | 1015260 | 2 | 01/04/2000 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Richard Keith Newman | 2273904 | 2 | 07/26/1999 | Customer Dispute | Denied | $90,114.00 | $0.00 | See FINRA Report |
| Richard Keith Newman | 2273904 | 2 | 05/10/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Lance Mitchell Kluger | 2834335 | 9 | 05/09/1999 | Customer Dispute | Award / Judgment | $12,000.00 | $2,950.00 | See FINRA Report |