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 |
|---|---|---|---|---|---|---|---|---|
| William Monfils Upson | 1241673 | 2 | 02/28/2008 | Customer Dispute | Closed-No Action | $0.00 | $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 |
| Jim McNair Stewart | 436305 | 1 | 10/01/2007 | Customer Dispute | Closed-No Action | $0.00 | $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 |
| Micheal Masaaki Ono | 2519655 | 2 | 10/21/2004 | Customer Dispute | Denied | $14,404.80 | $0.00 | See FINRA Report |
| Daryl Andrew Cole | 2607997 | 2 | 06/05/2002 | Customer Dispute | Award / Judgment | $66,242.00 | $5,255.00 | See FINRA Report |
| William Emil Fredrickson | 2748994 | 1 | 05/29/2001 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |