NEIL JOHN BROOKES is currently employed as a Broker and/or Investment Adviser at BLUEFIN TRADING, LLC located at 3 PARK AVENUE, 37TH FLOOR, NEW YORK, NY, 10016.
NEIL JOHN BROOKES has worked at BLUEFIN TRADING, LLC since March 05, 2014
NEIL JOHN BROOKES has 2 Disclosure Event(s).Date: December 23, 2011
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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