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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Ann Risgaard | 3114967 | 1 | 06/29/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Devon Niles | 4167911 | 1 | 08/26/2016 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Paul Helmut Auslander | 1019443 | 1 | 05/09/2007 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| Stephen James Csenge | 1236240 | 1 | 09/20/1991 | Customer Dispute | Settled | $41,970.00 | $0.00 | See FINRA Report |