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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Rome | 5951311 | 1 | 08/01/2024 | Customer Dispute | Pending | $17,332.20 | $0.00 | See FINRA Report |
| Leonard Frederick Hirsh | 4216156 | 2 | 07/02/2024 | Customer Dispute | Pending | $600,000.00 | $0.00 | See FINRA Report |
| Chad Eldridge Bates | 4693677 | 2 | 09/29/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary Kendall Liska | 2512188 | 4 | 05/11/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Hayley A Bates | 5695777 | 1 | 12/22/2021 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Gary Kendall Liska | 2512188 | 4 | 12/20/2021 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Gary Kendall Liska | 2512188 | 4 | 07/21/2020 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Payam Taghibagi | 2075689 | 1 | 07/07/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jennifer Kim | 2322771 | 1 | 06/03/2020 | Customer Dispute | Settled | $17,164.70 | $0.00 | See FINRA Report |
| Frank Legan | 4197203 | 1 | 08/06/2017 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |