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 |
|---|---|---|---|---|---|---|---|---|
| Mark Xavier O'Leary | 6774683 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Tara Cole Ellis | 5058128 | 2 | 07/02/2021 | Customer Dispute | Settled | $34,106.60 | $0.00 | See FINRA Report |
| Victoria Lucrecia Staudinger | 5099697 | 1 | 04/30/2021 | Customer Dispute | Settled | $1,440,830.00 | $0.00 | See FINRA Report |
| Blaine Kristopher Johnson | 5587927 | 2 | 03/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Janine Marie Ruland | 4969604 | 3 | 09/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Logan Ostrander | 2442492 | 1 | 08/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy L Jaggi | 4797269 | 1 | 08/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cody Samuel Greene | 6991281 | 1 | 04/24/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scotty Hendricks | 6303513 | 2 | 03/20/2020 | Customer Dispute | Settled | $23,014.00 | $0.00 | See FINRA Report |