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 |
|---|---|---|---|---|---|---|---|---|
| Graham William Jepsen | 5310577 | 1 | 09/13/2022 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Kevin Yoshimi Asano | 4450052 | 1 | 09/09/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark Coe Pendergrast | 1648139 | 1 | 09/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Peter Oliveri | 3179023 | 1 | 08/24/2022 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Hector Alberto Mena | 5400535 | 3 | 08/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Volini | 5693453 | 2 | 08/21/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Dallah Anderson Forrest | 2224283 | 2 | 08/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Kerutis | 2345517 | 7 | 08/15/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Jordan Wenger | 6887013 | 1 | 08/08/2022 | Customer Dispute | Denied | $7,650.00 | $0.00 | See FINRA Report |
| Michael John Messer | 2070746 | 1 | 08/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |