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 |
|---|---|---|---|---|---|---|---|---|
| Marc I Rosenthal | 4379930 | 2 | 02/10/2014 | Customer Dispute | Settled | $9,500.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 02/06/2014 | Customer Dispute | Settled | $5,507.64 | $0.00 | See FINRA Report |
| Faith L Sigler | 4614699 | 1 | 10/15/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 09/27/2013 | Customer Dispute | Settled | $20,240.60 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Heath B Houston | 5395139 | 1 | 07/31/2013 | Customer Dispute | Settled | $17,302.90 | $0.00 | See FINRA Report |
| Yuk-Kin Monita Kuan | 3110889 | 1 | 06/03/2013 | Customer Dispute | Settled | $38,980.00 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 05/31/2013 | Customer Dispute | Settled | $14,320.20 | $0.00 | See FINRA Report |
| Alison Joy Flaum | 2951500 | 3 | 01/30/2013 | Customer Dispute | Settled | $6,701.59 | $0.00 | See FINRA Report |
| Eric J Brisebois | 4160820 | 4 | 12/07/2012 | Customer Dispute | Settled | $24,904.20 | $0.00 | See FINRA Report |