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 |
|---|---|---|---|---|---|---|---|---|
| Arif Ahmed | 3099755 | 5 | 02/06/2024 | Customer Dispute | Pending | $225,000,000.00 | $0.00 | See FINRA Report |
| Arif Ahmed | 3099755 | 5 | 02/06/2024 | Customer Dispute | Pending | $35,026,600.00 | $0.00 | See FINRA Report |
| Sam C Schoner | 1928356 | 3 | 12/07/2023 | Customer Dispute | Pending | $2,500,000.00 | $0.00 | See FINRA Report |
| Sam C Schoner | 1928356 | 3 | 09/12/2023 | Customer Dispute | Settled | $7,498,470.00 | $0.00 | See FINRA Report |
| Harold Louis Reinstein | 2516822 | 1 | 07/06/2023 | Customer Dispute | Pending | $2,600,000.00 | $0.00 | See FINRA Report |
| Michael Nelson | 3185886 | 2 | 03/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kristen Mariko Hirano | 7076564 | 1 | 08/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ngai Pham | 4283798 | 1 | 08/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Laura Michelle Pricer | 6778967 | 2 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Michelle Pricer | 6778967 | 2 | 04/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |