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 |
|---|---|---|---|---|---|---|---|---|
| William Hayes Montag | 2923661 | 1 | 10/17/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dale Deval Carey | 4120046 | 1 | 10/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luke Alan Glasscock | 6579141 | 1 | 10/15/2018 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Brian Grant Neuhardt | 3120818 | 3 | 10/04/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Adam Senra Palas | 3060115 | 1 | 10/01/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy Wilmes | 4049866 | 1 | 10/01/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 09/20/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Lee | 1857818 | 3 | 09/12/2018 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Adam | 2393993 | 3 | 09/05/2018 | Customer Dispute | Denied | $20,114.70 | $0.00 | See FINRA Report |
| Dominic Edward Marsico | 837526 | 2 | 09/04/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |