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 |
|---|---|---|---|---|---|---|---|---|
| Ronald G Smith | 6038062 | 2 | 02/22/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Judith Rosenthal | 2864189 | 3 | 10/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Devin Patel | 6632487 | 1 | 09/01/2023 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Jordan Lee Forney | 6156849 | 1 | 02/28/2023 | Customer Dispute | Settled | $489,703.00 | $0.00 | See FINRA Report |
| Mary Ann Best | 4389355 | 1 | 02/28/2023 | Customer Dispute | Settled | $489,703.00 | $0.00 | See FINRA Report |
| Jason Cameron Teich | 6337210 | 1 | 02/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carson Pope | 6369682 | 1 | 12/01/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Judith Rosenthal | 2864189 | 3 | 08/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald G Smith | 6038062 | 2 | 01/21/2021 | Customer Dispute | Closed-No Action | $42,035.00 | $0.00 | See FINRA Report |
| Judith Rosenthal | 2864189 | 3 | 03/06/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |