Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Peter Charles Holliday | 4594849 | 1 | 02/23/2009 | Customer Dispute | Closed-No Action | $15,236.00 | $0.00 | See FINRA Report |
| Octavio Saenz Torres | 2517804 | 2 | 12/11/2008 | Customer Dispute | Closed-No Action | $25,220.00 | $0.00 | See FINRA Report |
| Eric Thomas Pailing | 5042829 | 1 | 10/31/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raymond Ferngren | 4179863 | 1 | 10/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Loran Scott Coffman | 1678917 | 4 | 04/18/2008 | Customer Dispute | Withdrawn | $133,500.00 | $0.00 | See FINRA Report |
| Aaron Christian Mulvaney | 2383085 | 1 | 04/04/2008 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Ashley Sheena Zephir | 4774673 | 1 | 08/07/2007 | Customer Dispute | Denied | $6,130.00 | $0.00 | See FINRA Report |
| Monica Rose Lostumbo | 6996130 | 1 | 02/17/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sergio Anthony Decurtis | 2216864 | 1 | 10/24/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Octavio Saenz Torres | 2517804 | 2 | 09/22/2006 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |