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 |
|---|---|---|---|---|---|---|---|---|
| Edward Isaac Rosenblatt | 2658712 | 6 | 06/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Emily Ann Secord | 5919546 | 1 | 06/16/2017 | Customer Dispute | Denied | $11,353.00 | $0.00 | See FINRA Report |
| Robin Vail Platt | 2584058 | 2 | 06/12/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Chikako Kashino | 2738091 | 1 | 06/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Lief Collins | 2787822 | 4 | 05/19/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Alan Kirkham | 1917966 | 1 | 05/10/2017 | Customer Dispute | Denied | $134,000.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 04/17/2017 | Customer Dispute | Settled | $134,597.00 | $0.00 | See FINRA Report |
| Kim Kerry Love | 1242426 | 2 | 04/04/2017 | Customer Dispute | Closed-No Action | $499,000.00 | $0.00 | See FINRA Report |
| Kurt Louis Hoffer | 2044343 | 12 | 03/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kurt Louis Hoffer | 2044343 | 12 | 03/29/2017 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |