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 |
|---|---|---|---|---|---|---|---|---|
| Brian Lee Freeman | 1379227 | 2 | 11/08/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 10/27/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Chad Duane Anderson | 3168404 | 1 | 10/26/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 10/25/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 10/24/2023 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Martin S Berman | 2406962 | 2 | 10/24/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Derek Guy McLean | 1939560 | 2 | 10/24/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fei Yi Wang | 5899211 | 2 | 09/26/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Nicholas C Carter | 5362028 | 1 | 09/26/2023 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Mai Le Nguyen | 2852314 | 1 | 09/20/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |