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 |
|---|---|---|---|---|---|---|---|---|
| Maxim Tulupnikoff | 6188857 | 2 | 09/19/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Norton | 2617985 | 9 | 05/17/2016 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Norton | 2617985 | 9 | 10/09/2013 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Norton | 2617985 | 9 | 05/08/2013 | Customer Dispute | Closed-No Action | $293,759.00 | $0.00 | See FINRA Report |
| Michael Joseph Norton | 2617985 | 9 | 11/19/2012 | Customer Dispute | Withdrawn | $99,999.00 | $0.00 | See FINRA Report |
| Rafael Scott Klein | 2865823 | 7 | 11/17/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |