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 |
|---|---|---|---|---|---|---|---|---|
| Graham William Jepsen | 5310577 | 1 | 09/13/2022 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Kevin Yoshimi Asano | 4450052 | 1 | 09/09/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Anthony Peter Oliveri | 3179023 | 1 | 08/24/2022 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Hector Alberto Mena | 5400535 | 3 | 08/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Volini | 5693453 | 2 | 08/21/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 07/15/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 07/05/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 06/14/2022 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 06/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel T Malachowski | 3242512 | 2 | 05/20/2022 | Customer Dispute | Settled | $43,470.00 | $0.00 | See FINRA Report |