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 |
|---|---|---|---|---|---|---|---|---|
| David William Sosa | 6725101 | 2 | 09/06/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/19/2024 | Customer Dispute | Pending | $591,037.00 | $0.00 | See FINRA Report |
| David Lee Rhodes | 2620006 | 9 | 08/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/01/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 07/02/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Michael George Breard | 4501865 | 1 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Patricia Lynn Simms | 2693857 | 1 | 06/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Joseph Perrotto | 4960240 | 2 | 06/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 06/11/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See FINRA Report |