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 |
|---|---|---|---|---|---|---|---|---|
| Azim Nakhooda | 2913470 | 17 | 05/03/2011 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 04/07/2011 | Customer Dispute | Settled | $3,187,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 02/07/2011 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 01/24/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 11/05/2010 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 09/20/2010 | Customer Dispute | Settled | $785,000.00 | $0.00 | See FINRA Report |
| Rebecca Bar-Shain | 5318833 | 3 | 06/28/2010 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 06/28/2010 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 06/02/2010 | Customer Dispute | Settled | $3,187,000.00 | $0.00 | See FINRA Report |
| Rebecca Bar-Shain | 5318833 | 3 | 05/24/2010 | Customer Dispute | Settled | $3,966,000.00 | $0.00 | See FINRA Report |