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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Reed McCook | 4155186 | 3 | 11/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Franklin Metcalf | 1280602 | 11 | 10/14/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Barry Canter | 2644093 | 2 | 10/11/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Scott Laskin | 2201317 | 2 | 09/17/2019 | Customer Dispute | Pending | $57,527.00 | $0.00 | See FINRA Report |
| Chris Jongmin Kim | 6534492 | 1 | 09/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 5 | 09/09/2019 | Customer Dispute | Withdrawn | $8,176.00 | $0.00 | See FINRA Report |
| Peter Paul Stefanic | 1071670 | 3 | 08/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Ira Goldstein | 3223787 | 10 | 08/12/2019 | Customer Dispute | Award / Judgment | $1,517,550.00 | $0.00 | See FINRA Report |