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 |
|---|---|---|---|---|---|---|---|---|
| Lesley Huberman Sommers | 1043841 | 3 | 09/23/2016 | Customer Dispute | Settled | $21,209.00 | $0.00 | See FINRA Report |
| Richard James Staszak | 4305139 | 1 | 09/20/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Zachary Adam MacDougall | 5896328 | 1 | 09/13/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephanie Yuen Hwei Tsang | 5082866 | 2 | 09/13/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Braddy | 3144028 | 1 | 08/30/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Fernando Fuentes | 5513553 | 1 | 08/29/2016 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Stefan Kaplan | 2274091 | 2 | 08/11/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 08/04/2016 | Customer Dispute | Denied | $5,460.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,162.51 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,219.84 | $0.00 | See FINRA Report |