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 | 09/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Douglas Robert Filipovits | 4603657 | 2 | 09/16/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 09/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 08/25/2021 | Customer Dispute | Settled | $60,399.00 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Daniel Owen Palmer | 1404876 | 3 | 07/21/2021 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Paul John Rizzo | 2464522 | 1 | 07/19/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Simon | 2369509 | 1 | 07/09/2021 | Customer Dispute | Settled | $10,127.80 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 06/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |