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 |
|---|---|---|---|---|---|---|---|---|
| William Glubiak | 2552443 | 3 | 01/13/2014 | Customer Dispute | Settled | $267,500.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 11/11/2013 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 10/24/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cole Griffin Brownell | 6645548 | 1 | 10/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 07/08/2013 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 06/08/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 06/06/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 05/23/2013 | Customer Dispute | Denied | $180,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 04/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 04/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |