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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Marc Cedarleaf | 4341451 | 4 | 07/13/2022 | Customer Dispute | Award / Judgment | $4,000,000.00 | $0.00 | See FINRA Report |
| Lawrence Ira Goldstein | 3223787 | 10 | 08/12/2019 | Customer Dispute | Award / Judgment | $1,517,550.00 | $0.00 | See FINRA Report |
| Carmen Iok Sim Iao | 2937629 | 1 | 06/24/2018 | Customer Dispute | Award / Judgment | $966.40 | $0.00 | See FINRA Report |
| Travis G Blaser | 4228055 | 1 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Ronald Reed McCook | 4155186 | 3 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Robert Eugene Berg | 1218879 | 3 | 04/10/2018 | Customer Dispute | Award / Judgment | $19,400.00 | $16,400.00 | See FINRA Report |
| Giang Thanh Tran | 4853018 | 1 | 12/19/2016 | Customer Dispute | Award / Judgment | $6,000.00 | $3,776.00 | See FINRA Report |
| Charles Llewellyn Sutton | 6018518 | 1 | 07/22/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $14,500.00 | See FINRA Report |
| Matthew Joseph Waldrop | 4641178 | 1 | 11/25/2015 | Customer Dispute | Award / Judgment | $54,744.40 | $43,993.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |