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 |
|---|---|---|---|---|---|---|---|---|
| William Charles Schumann | 1604894 | 5 | 05/09/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| William James Obrien | 1075392 | 2 | 05/04/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brianna Christine McClain | 5870195 | 1 | 04/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Dale Hunter | 3165845 | 2 | 04/18/2016 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Ira Leslie Aguado | 1706754 | 4 | 04/07/2016 | Customer Dispute | Denied | $37,500.00 | $0.00 | See FINRA Report |
| Anthony August Anzer | 2212484 | 1 | 04/02/2016 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Serge Suleimani | 3272270 | 2 | 04/01/2016 | Customer Dispute | Settled | $63,700.00 | $0.00 | See FINRA Report |
| Rodney Michael Kramp | 2480011 | 1 | 03/28/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Williams | 4260515 | 2 | 03/28/2016 | Customer Dispute | Denied | $56,000.00 | $0.00 | See FINRA Report |
| Howard Jay Rubin | 5836057 | 1 | 03/24/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |