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 Lief Collins | 2787822 | 4 | 03/23/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Phillip Dibella | 1614429 | 5 | 03/18/2016 | Customer Dispute | Denied | $50,400.00 | $0.00 | See FINRA Report |
| Andrew James Mahaven | 5429352 | 1 | 03/10/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Timothy James Lyons | 4788237 | 1 | 03/10/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Anderson | 4543380 | 1 | 03/03/2016 | Customer Dispute | Denied | $19,177.20 | $0.00 | See FINRA Report |
| Brian Thomas Mills | 2071799 | 1 | 03/01/2016 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Jessica Kramser King | 5613982 | 1 | 02/24/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeong Han Kim | 4406438 | 2 | 02/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lloyd Winkler | 4406481 | 7 | 02/12/2016 | Customer Dispute | Settled | $10,175.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 02/05/2016 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |