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 |
|---|---|---|---|---|---|---|---|---|
| Timothy James Lyons | 4788237 | 1 | 03/10/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeong Han Kim | 4406438 | 2 | 02/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lloyd Winkler | 4406481 | 7 | 02/12/2016 | Customer Dispute | Settled | $10,175.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 02/05/2016 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| David Christian Helfrich | 2148292 | 4 | 12/11/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michael Phillip Gurzi | 4498434 | 2 | 11/24/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 11/23/2015 | Customer Dispute | Settled | $11,500.00 | $0.00 | See FINRA Report |
| Katherine Ruth Nithman | 1935296 | 1 | 11/18/2015 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| James Peter Lux | 2482506 | 2 | 11/10/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |