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 |
|---|---|---|---|---|---|---|---|---|
| Juan P Garcia | 6485150 | 1 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeanette Fiore | 3072572 | 1 | 03/25/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chaim David Neuman | 3192745 | 1 | 03/18/2015 | Customer Dispute | Denied | $12,653.60 | $0.00 | See FINRA Report |
| Ardal Powell | 6724330 | 1 | 03/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Rosario Testa | 4837398 | 1 | 03/09/2015 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jane Leeka Fruin | 1739129 | 1 | 02/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 02/10/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric J Brisebois | 4160820 | 4 | 02/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 02/06/2015 | Customer Dispute | Settled | $127,912.00 | $0.00 | See FINRA Report |
| Scott Paul MacDonald | 2994054 | 5 | 01/26/2015 | Customer Dispute | Denied | $10,686.40 | $0.00 | See FINRA Report |