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 Edward Brunette | 813924 | 23 | 03/18/2020 | Customer Dispute | Denied | $3,034,850.00 | $0.00 | See FINRA Report |
| Andrew Hung Nguyen | 4126281 | 1 | 03/18/2020 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| Nicholas Shawn Doyle | 4962555 | 1 | 03/16/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 03/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harry Pringle Hewes | 6190381 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 02/25/2020 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Ronald Goldberg | 822091 | 1 | 02/20/2020 | Customer Dispute | Pending | $218,476.00 | $0.00 | See FINRA Report |
| Charles Alan Valenzuela | 829110 | 1 | 02/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Steinbruegge | 4141384 | 1 | 02/13/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nathan Marc Cedarleaf | 4341451 | 4 | 02/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |