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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Volini | 5693453 | 2 | 01/11/2017 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Christopher Scott Smith | 2265603 | 4 | 01/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/23/2016 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Andrew John Costanzo | 54857 | 2 | 12/20/2016 | Customer Dispute | Settled | $279,000.00 | $0.00 | See FINRA Report |
| Giang Thanh Tran | 4853018 | 1 | 12/19/2016 | Customer Dispute | Award / Judgment | $6,000.00 | $3,776.00 | See FINRA Report |
| Douglas Allen Becker | 2243437 | 3 | 12/18/2016 | Customer Dispute | Closed-No Action | $4,500,000.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 12/08/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nhien Yen Levitt | 5039336 | 1 | 12/07/2016 | Customer Dispute | Denied | $36,296.40 | $0.00 | See FINRA Report |
| Jared Michael Mire | 4758520 | 1 | 12/06/2016 | Customer Dispute | Settled | $24,356.30 | $0.00 | See FINRA Report |
| James Patrick McCloskey | 2844851 | 2 | 11/29/2016 | Customer Dispute | Settled | $397,237.00 | $0.00 | See FINRA Report |