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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Rose Bauer | 5766264 | 1 | 06/10/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Farhod Sultonov | 5562332 | 1 | 04/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Maus | 4810595 | 1 | 02/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Patrick Hagerty | 2593690 | 1 | 01/28/2022 | Customer Dispute | Denied | $14,877.50 | $0.00 | See FINRA Report |
| Steven Ronald Morgan | 2540641 | 2 | 12/28/2021 | Customer Dispute | Denied | $38,658.10 | $0.00 | See FINRA Report |
| Kerry Anne Matthews | 6549120 | 1 | 03/22/2021 | Customer Dispute | Denied | $45,850.00 | $0.00 | See FINRA Report |
| Souheir M Alrachid | 5434092 | 1 | 09/25/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Joseph Giorgi | 1403544 | 1 | 04/20/2020 | Customer Dispute | Denied | $776,000.00 | $0.00 | See FINRA Report |
| Kevin Douglas Gates | 4675932 | 2 | 01/16/2020 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Chien Kain Yeh | 4777090 | 3 | 12/13/2019 | Customer Dispute | Denied | $11,536.80 | $0.00 | See FINRA Report |