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 |
|---|---|---|---|---|---|---|---|---|
| Howard Slater | 2447823 | 21 | 04/28/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 04/23/2010 | Customer Dispute | Settled | $286,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 01/14/2010 | Customer Dispute | Settled | $2,490,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 01/14/2010 | Customer Dispute | Settled | $2,490,000.00 | $0.00 | See FINRA Report |
| Howard Slater | 2447823 | 21 | 11/27/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Azim Nakhooda | 2913470 | 17 | 09/28/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eric David Hirsch | 4854463 | 1 | 11/05/2008 | Customer Dispute | Denied | $7,181.08 | $0.00 | See FINRA Report |
| Andrew Lin | 4830234 | 1 | 10/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas van Kleeck | 2576750 | 1 | 02/08/2002 | Customer Dispute | Denied | $21,521.60 | $0.00 | See FINRA Report |
| Matthew Ward Hathway | 7732929 | 1 | 10/01/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |