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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Owen Palmer | 1404876 | 3 | 07/21/2021 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Paul John Rizzo | 2464522 | 1 | 07/19/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 07/09/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Simon | 2369509 | 1 | 07/09/2021 | Customer Dispute | Settled | $10,127.80 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 06/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 06/22/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 06/14/2021 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| Ronald Mark Selik | 1616960 | 4 | 06/10/2021 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jeffrey Gerard Meyers | 2192759 | 6 | 06/09/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |