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 |
|---|---|---|---|---|---|---|---|---|
| Randall John Mason | 1758777 | 2 | 11/30/2021 | Customer Dispute | Settled | $134,000.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 11/24/2021 | Customer Dispute | Settled | $330,000.00 | $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 |
| David Lee Rhodes | 2620006 | 9 | 11/18/2021 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Julia Ann McGinnis | 1696305 | 1 | 11/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Robert Perkins | 1653276 | 2 | 11/18/2021 | Customer Dispute | Denied | $303,129.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 10/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Stanley Fagan | 1572927 | 3 | 10/21/2021 | Customer Dispute | Settled | $124,048.00 | $0.00 | See FINRA Report |
| Hector Alberto Mena | 5400535 | 3 | 10/12/2021 | Customer Dispute | Settled | $6,806.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 10/08/2021 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |