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 |
|---|---|---|---|---|---|---|---|---|
| Sean R Mainwaring | 7047903 | 5 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 01/05/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 01/04/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| William Lief Collins | 2787822 | 4 | 01/04/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 01/03/2024 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Kenneth Lynde | 2690320 | 2 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 12/21/2023 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Anthony F Caruso | 2977324 | 1 | 12/21/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 12/20/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |