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 |
|---|---|---|---|---|---|---|---|---|
| James Cosmo Ciocia | 1619245 | 2 | 05/19/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 05/09/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jason Bryce Covington | 4303657 | 2 | 04/27/2022 | Customer Dispute | Settled | $12,256.00 | $0.00 | See FINRA Report |
| Brion Patrick Harris | 3199095 | 9 | 04/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carmine Philip Anzalone | 6493 | 1 | 03/21/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brian Robert Thomas | 5239983 | 2 | 03/21/2022 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Anthony Calhoun | 3264219 | 1 | 03/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Brooks Alsdorf | 721399 | 1 | 03/02/2022 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward C Yoon | 2408137 | 4 | 02/25/2022 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Doris C Lau | 5750600 | 1 | 02/17/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |