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 |
|---|---|---|---|---|---|---|---|---|
| Ping Shuang Cathy Wu | 4924232 | 5 | 05/21/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robin Vail Platt | 2584058 | 2 | 05/04/2021 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 05/03/2021 | Customer Dispute | Settled | $8,141.61 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 04/28/2021 | Customer Dispute | Settled | $9,218.47 | $0.00 | See FINRA Report |
| Jiaqi Chen | 6048832 | 1 | 04/22/2021 | Customer Dispute | Settled | $221,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 04/21/2021 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |
| Anthony Grassi | 2791597 | 3 | 04/20/2021 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Jian Cheng Li | 5814529 | 1 | 04/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Franklin Metcalf | 1280602 | 11 | 04/07/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Bryan Christopher Davis | 2468251 | 5 | 04/01/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |