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 |
|---|---|---|---|---|---|---|---|---|
| John J Kang | 3125983 | 1 | 11/03/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brett Thomas Broyles | 2447220 | 1 | 05/07/2021 | Customer Dispute | Settled | $111,957.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Barnthouse | 6871132 | 1 | 05/07/2021 | Customer Dispute | Settled | $111,957.00 | $0.00 | See FINRA Report |
| David Stanley Kovach | 2069842 | 2 | 11/25/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Stanley Kovach | 2069842 | 2 | 03/06/2014 | Customer Dispute | Settled | $449,146.00 | $0.00 | See FINRA Report |
| Thomas Andrew Panoplos | 4454403 | 1 | 07/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Joseph Brownstein | 4907060 | 1 | 04/22/2009 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| Philip James Ricasata | 2585778 | 1 | 06/13/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |