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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas C Pavia | 5044474 | 1 | 04/23/2018 | Customer Dispute | Settled | $152,500.00 | $0.00 | See FINRA Report |
| Travis G Blaser | 4228055 | 1 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Ronald Reed McCook | 4155186 | 3 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Robert Eugene Berg | 1218879 | 3 | 04/10/2018 | Customer Dispute | Award / Judgment | $19,400.00 | $16,400.00 | See FINRA Report |
| Adam W Wood | 5227022 | 1 | 04/04/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Tarashuk | 1618762 | 1 | 04/03/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Phillip William Cruikshank | 1931752 | 1 | 03/29/2018 | Customer Dispute | Denied | $8,208.07 | $0.00 | See FINRA Report |
| Robert Edward Waite | 4403425 | 1 | 03/12/2018 | Customer Dispute | Denied | $7,486.15 | $0.00 | See FINRA Report |
| Stephen William Brown | 6380760 | 1 | 03/08/2018 | Customer Dispute | Settled | $93,139.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 03/07/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |