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 |
|---|---|---|---|---|---|---|---|---|
| Trey Andrew Toifel | 5830403 | 2 | 06/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William James Obrien | 1075392 | 2 | 06/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Paul Brennan | 6134503 | 1 | 06/18/2023 | Customer Dispute | Denied | $5,000.00 | $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 |
| Robert Edward Burns | 4066393 | 4 | 06/06/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John David Strickler | 6211904 | 1 | 06/02/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Cole Wells | 5553359 | 2 | 05/26/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Xuemei Qian | 6155322 | 3 | 05/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Edward Oliphant | 4551455 | 2 | 05/23/2023 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Juan Rascon | 5631144 | 3 | 05/18/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |