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 | 03/27/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| William Glubiak | 2552443 | 3 | 03/27/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 02/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 01/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 09/17/2012 | Customer Dispute | Settled | $397,000.00 | $0.00 | See FINRA Report |
| Rebecca Bar-Shain | 5318833 | 3 | 07/23/2012 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 07/23/2012 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 07/19/2012 | Customer Dispute | Award / Judgment | $3,818,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 07/09/2012 | Customer Dispute | Settled | $488,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 03/30/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |