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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Kerutis | 2345517 | 7 | 12/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mai Le Nguyen | 2852314 | 1 | 09/20/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Zachary Lofton | 6723209 | 1 | 09/13/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| John Neeman Coury | 6260315 | 1 | 09/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Groarke | 2213512 | 3 | 08/23/2023 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Thomas | 6741331 | 1 | 07/27/2023 | Customer Dispute | Denied | $12,058.60 | $0.00 | See FINRA Report |
| Kathryn A Frank | 4738039 | 2 | 07/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 06/29/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Scott Smith | 6134919 | 1 | 06/23/2023 | Customer Dispute | Denied | $32,382.70 | $0.00 | See FINRA Report |
| Thomas Paul Brennan | 6134503 | 1 | 06/18/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |