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 |
|---|---|---|---|---|---|---|---|---|
| Richard Alan Hoberman | 4299250 | 9 | 02/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Anderson | 7255555 | 1 | 01/17/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Janet Benik Spector | 1505998 | 2 | 01/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Pierre Manson | 5735488 | 6 | 01/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathon Frey | 6532555 | 1 | 12/26/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin Bing Yin | 5835533 | 1 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Nolan Pendleton | 5350768 | 2 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Reie Levi | 5987230 | 1 | 10/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 10/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Glenn Westberg | 1879019 | 2 | 10/19/2023 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |