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 |
|---|---|---|---|---|---|---|---|---|
| Xiao Qin Komischke | 5076489 | 2 | 10/06/2021 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| David Allen Kellin | 1608396 | 1 | 09/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Xiao Qin Komischke | 5076489 | 2 | 09/23/2021 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 09/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Douglas Robert Filipovits | 4603657 | 2 | 09/16/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 09/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Don Clay Hall | 823983 | 8 | 08/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 08/25/2021 | Customer Dispute | Settled | $60,399.00 | $0.00 | See FINRA Report |
| Eric Stephen Pasquini | 3176301 | 2 | 08/18/2021 | Customer Dispute | Denied | $19,156.70 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |