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 |
|---|---|---|---|---|---|---|---|---|
| Robert Eugene Berg | 1218879 | 3 | 01/07/2019 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Richard Thomas Ragold | 1808168 | 2 | 01/07/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 01/03/2019 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 12/10/2018 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Antonio Omar Gonzalez Davila | 2491572 | 6 | 11/26/2018 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Kirby Spencer McDonald | 1622995 | 2 | 11/07/2018 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Brian Grant Neuhardt | 3120818 | 3 | 10/04/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 09/20/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Javier Enrique Pascual Imbert | 2789824 | 1 | 08/22/2018 | Customer Dispute | Settled | $1,550,000.00 | $0.00 | See FINRA Report |
| Robert Edward Burns | 4066393 | 4 | 08/03/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |