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 |
|---|---|---|---|---|---|---|---|---|
| Gary William Holland | 852976 | 6 | 09/05/2023 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Chester Waggoner | 3237078 | 1 | 07/14/2023 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Spencer Philip Warn | 6610487 | 1 | 06/30/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tim David Weinberg | 1978199 | 1 | 06/16/2023 | Customer Dispute | Closed-No Action | $19,415.10 | $0.00 | See FINRA Report |
| Eugene Paul Jordan | 727773 | 2 | 01/27/2023 | Customer Dispute | Closed-No Action | $17,526.40 | $0.00 | See FINRA Report |
| Andrew Scott Pincus | 4847752 | 1 | 03/07/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nicholas John Casagrande | 4288486 | 1 | 11/18/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Xiao Qin Komischke | 5076489 | 2 | 10/06/2021 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Don Clay Hall | 823983 | 8 | 08/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 07/09/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |