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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Rivas | 4429905 | 2 | 06/29/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth David Silverman | 2226600 | 2 | 06/24/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Alan Lindsay | 1002597 | 4 | 06/14/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Lawrence Ira Goldstein | 3223787 | 10 | 06/13/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Adam Packer | 5269055 | 2 | 06/09/2016 | Customer Dispute | Denied | $5,854.08 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 06/09/2016 | Customer Dispute | Settled | $42,835.00 | $0.00 | See FINRA Report |
| Benjamin D Zamora | 5373861 | 2 | 05/31/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Robert Filipovits | 4603657 | 2 | 05/26/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 05/09/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |