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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Franzen | 4616701 | 2 | 05/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marlon Geroid Carter | 5488259 | 3 | 05/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lakesha Dunbar | 4934567 | 1 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tony Kang | 4774261 | 3 | 03/30/2015 | Customer Dispute | Settled | $48,137.30 | $0.00 | See FINRA Report |
| Maxwell Chadwick Myrick | 4225539 | 1 | 02/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hurong Lou | 5208342 | 2 | 01/28/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Trish Le | 6002689 | 1 | 01/27/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John P Murphy | 856789 | 5 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Eric Daniels | 6117658 | 1 | 12/04/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tony Kang | 4774261 | 3 | 11/17/2014 | Customer Dispute | Settled | $8,866.20 | $0.00 | See FINRA Report |