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 |
|---|---|---|---|---|---|---|---|---|
| Luke Hayes | 6025735 | 3 | 03/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luke Hayes | 6025735 | 3 | 03/02/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Legan | 4197203 | 1 | 08/06/2017 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 05/16/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Corey Goldstein | 6512730 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Glubiak | 2552443 | 3 | 06/08/2015 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 11/10/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Robertson | 2346114 | 2 | 06/01/2014 | Customer Dispute | Settled | $37,840.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 04/22/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 03/06/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |