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 |
|---|---|---|---|---|---|---|---|---|
| John Winston McGilchrist | 1029958 | 11 | 10/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Adams | 2853872 | 2 | 04/21/2014 | Customer Dispute | Settled | $3,200,000.00 | $0.00 | See FINRA Report |
| Tony Kang | 4774261 | 3 | 02/13/2014 | Customer Dispute | Denied | $26,097.20 | $0.00 | See FINRA Report |
| John Winston McGilchrist | 1029958 | 11 | 12/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christine Maria Ward | 5605819 | 2 | 12/17/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Adam Barrack | 1393944 | 5 | 11/05/2012 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Avinash Daswani | 4838727 | 2 | 10/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Winston McGilchrist | 1029958 | 11 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christine Maria Ward | 5605819 | 2 | 07/13/2012 | Customer Dispute | Settled | $1,500.00 | $0.00 | See FINRA Report |
| Michael David Curtis | 2255005 | 4 | 05/09/2012 | Customer Dispute | Denied | $21,120.00 | $0.00 | See FINRA Report |