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 |
|---|---|---|---|---|---|---|---|---|
| Peter C Han | 4704497 | 1 | 01/21/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gerard John Nicosia | 4660302 | 1 | 01/20/2021 | Customer Dispute | Settled | $125,001.00 | $0.00 | See FINRA Report |
| Daniel Joseph Lane | 4521546 | 1 | 01/20/2021 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Bergdahl | 1432349 | 2 | 01/19/2021 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Jefferson Carl Campbell | 6312611 | 1 | 01/11/2021 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Frederick Timothy Driscoll | 846804 | 1 | 01/06/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 01/05/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Richard Gerard Quense | 2237629 | 1 | 12/30/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 12/15/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Donald Terry Burrows | 2377015 | 2 | 12/08/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |