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 |
|---|---|---|---|---|---|---|---|---|
| Edward Detomaso | 1038132 | 1 | 02/27/2012 | Customer Dispute | Settled | $213,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 01/30/2012 | Customer Dispute | Settled | $590,000.00 | $0.00 | See FINRA Report |
| Mark Edward Copeland | 1844301 | 1 | 01/18/2012 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Chad Eldridge Bates | 4693677 | 2 | 08/25/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 08/02/2011 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| David Robertson | 2346114 | 2 | 05/03/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| 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 |
| Leonard Frederick Hirsh | 4216156 | 2 | 01/30/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |