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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Calhoun | 3264219 | 1 | 03/07/2022 | Customer Dispute | Settled | $0.00 | $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 |
| Stephen Brooks Alsdorf | 721399 | 1 | 03/02/2022 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward C Yoon | 2408137 | 4 | 02/25/2022 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Taylor Realino McBath | 6536354 | 1 | 02/25/2022 | Customer Dispute | Denied | $11,421.00 | $0.00 | See FINRA Report |
| Kimberly R Superneau | 4548225 | 2 | 02/25/2022 | Customer Dispute | Denied | $34,790.10 | $0.00 | See FINRA Report |
| Doris C Lau | 5750600 | 1 | 02/17/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Norman Lawrence Cone | 2302699 | 1 | 02/13/2022 | Customer Dispute | Dismissed | $5,447.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 12/14/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 12/03/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |