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 |
|---|---|---|---|---|---|---|---|---|
| Micheline E Yacoub | 5900980 | 1 | 12/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam David Herzing | 5448024 | 2 | 11/02/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wayne L Rector | 4592089 | 2 | 10/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathy Jane Moritz | 4517320 | 1 | 06/02/2022 | Customer Dispute | Settled | $62,618.00 | $0.00 | See FINRA Report |
| Seth J Bassin | 6143779 | 2 | 05/23/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Terrence Graff | 5400355 | 2 | 04/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ammie Mareez Tolentino de los Reyes | 7302682 | 1 | 02/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ted Phung Ngo | 2905920 | 1 | 12/02/2021 | Customer Dispute | Settled | $15,853.70 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 11/04/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael G Fisher | 4596313 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |