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 |
|---|---|---|---|---|---|---|---|---|
| Artin Bandari | 4691823 | 5 | 10/14/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Artin Bandari | 4691823 | 5 | 04/28/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Artin Bandari | 4691823 | 5 | 11/07/2014 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Daryl Andrew Cole | 2607997 | 2 | 05/20/2011 | Customer Dispute | Settled | $221,321.00 | $0.00 | See FINRA Report |
| Jane An | 4683148 | 2 | 02/04/2008 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Jane An | 4683148 | 2 | 01/28/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Micheal Masaaki Ono | 2519655 | 2 | 08/03/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Patrick Gillespie | 822611 | 2 | 12/13/2005 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Patrick Gillespie | 822611 | 2 | 05/16/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Emil Fredrickson | 2748994 | 1 | 05/29/2001 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |