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 |
|---|---|---|---|---|---|---|---|---|
| Scott Edward Oliphant | 4551455 | 2 | 01/20/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Weina Hou | 5901613 | 1 | 05/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 10/08/2021 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Sathesh Janaki | 5452880 | 2 | 09/06/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Goldberg | 822091 | 1 | 02/20/2020 | Customer Dispute | Pending | $218,476.00 | $0.00 | See FINRA Report |
| Richard Scott Laskin | 2201317 | 2 | 09/17/2019 | Customer Dispute | Pending | $57,527.00 | $0.00 | See FINRA Report |
| Mark Wayne Fuhrman | 5924292 | 1 | 01/08/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew David Bossalina | 6631773 | 4 | 12/27/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kristopher B Smith | 4199159 | 5 | 10/26/2016 | Customer Dispute | Pending | $600,000.00 | $0.00 | See FINRA Report |
| Douglas Allen Becker | 2243437 | 3 | 02/03/2014 | Customer Dispute | Pending | $525,000.00 | $0.00 | See FINRA Report |