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 |
|---|---|---|---|---|---|---|---|---|
| Mai Le Nguyen | 2852314 | 1 | 09/20/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas Guccia | 6370707 | 1 | 09/15/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Zachary Lofton | 6723209 | 1 | 09/13/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Eric Dillon Rivers | 7753162 | 1 | 09/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Neeman Coury | 6260315 | 1 | 09/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Edward Hutchingson | 2131647 | 2 | 09/06/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Gary William Holland | 852976 | 6 | 09/05/2023 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 08/28/2023 | Customer Dispute | Settled | $12,385.60 | $0.00 | See FINRA Report |
| Gregory S Carroll | 6357759 | 3 | 08/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Groarke | 2213512 | 3 | 08/23/2023 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |