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 |
|---|---|---|---|---|---|---|---|---|
| Rafael Scott Klein | 2865823 | 7 | 03/18/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Bruce Hurwitz | 2580461 | 1 | 03/18/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Norton | 2617985 | 9 | 03/07/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Ronald Lewis Morse | 341008 | 1 | 11/27/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maxim Tulupnikoff | 6188857 | 2 | 04/11/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Norton | 2617985 | 9 | 09/03/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Rafael Scott Klein | 2865823 | 7 | 05/18/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Anthony Francis Meere | 1251122 | 1 | 12/08/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Rafael Scott Klein | 2865823 | 7 | 11/03/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Rafael Scott Klein | 2865823 | 7 | 08/31/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |