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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Gregory Hobbs | 5092184 | 2 | 06/06/2024 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |
| Dennis Everett Herrera | 4772997 | 1 | 05/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Harold Francis Puhl | 1045552 | 5 | 05/24/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Timothy Richard Farris | 2178521 | 2 | 05/22/2024 | Customer Dispute | Pending | $33,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 05/15/2024 | Customer Dispute | Pending | $1,567,400.00 | $0.00 | See FINRA Report |
| Bradley Jay Bergdahl | 1432349 | 2 | 03/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Anson Kau Cheong | 7118738 | 1 | 03/12/2024 | Customer Dispute | Pending | $1,054,760.00 | $0.00 | See FINRA Report |
| Ernest Anthony Cozzi | 1173200 | 5 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 02/02/2024 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 01/16/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |