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 |
|---|---|---|---|---|---|---|---|---|
| Lanting Wei | 6242083 | 2 | 07/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 07/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/19/2024 | Customer Dispute | Settled | $594,986.00 | $0.00 | See FINRA Report |
| Thomas Joseph Clifford | 1677291 | 1 | 07/18/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hal Bradley Butler | 1069655 | 1 | 07/11/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Ryan Stucke | 4840895 | 6 | 07/02/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Michael George Breard | 4501865 | 1 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Lynn Simms | 2693857 | 1 | 06/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Joseph Perrotto | 4960240 | 2 | 06/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |