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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| William Dennis Eckert | 1771909 | 3 | 07/27/2016 | Customer Dispute | Denied | $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 |
| David Adam Packer | 5269055 | 2 | 06/09/2016 | Customer Dispute | Denied | $5,854.08 | $0.00 | See FINRA Report |
| 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 |
| Ira Leslie Aguado | 1706754 | 4 | 04/07/2016 | Customer Dispute | Denied | $37,500.00 | $0.00 | See FINRA Report |