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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Kerutis | 2345517 | 7 | 12/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter William Pace | 2028671 | 1 | 12/06/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| James Francis Sirek | 5659487 | 2 | 12/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Stanley Fagan | 1572927 | 3 | 11/29/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 11/28/2023 | Customer Dispute | Settled | $690,000.00 | $0.00 | See FINRA Report |
| Brion Patrick Harris | 3199095 | 9 | 11/27/2023 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| William Edward Hutchingson | 2131647 | 2 | 11/27/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Richard Robert McCloskey | 325602 | 1 | 11/27/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 11/22/2023 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 11/16/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |