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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Angelo Auteri | 2390615 | 9 | 02/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Angelo Auteri | 2390615 | 9 | 01/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis R Farrar | 5660260 | 1 | 12/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erick Ian Buckley | 4695697 | 1 | 12/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wai Man Luk | 5730295 | 1 | 11/24/2020 | Financial | Final | $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 |
| Souheir M Alrachid | 5434092 | 1 | 09/25/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eve Marie Brewer | 7426569 | 1 | 08/14/2020 | Financial | Final | $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 |