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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Nicholas Caputo | 1389962 | 4 | 09/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 09/05/2017 | Customer Dispute | Settled | $507,069.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 08/11/2017 | Customer Dispute | Settled | $433,687.00 | $0.00 | See FINRA Report |
| Laura Ann Vaughn | 5783498 | 1 | 08/02/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brian Robert Thomas | 5239983 | 2 | 07/24/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Michael Todd Hogan | 1901482 | 4 | 07/07/2017 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 06/29/2017 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Kurt Louis Hoffer | 2044343 | 12 | 06/21/2017 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Edward Isaac Rosenblatt | 2658712 | 6 | 06/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 04/17/2017 | Customer Dispute | Settled | $134,597.00 | $0.00 | See FINRA Report |