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 |
|---|---|---|---|---|---|---|---|---|
| Monty Alan Alspaugh | 4201153 | 6 | 09/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kelly Diane Kaneski | 3214853 | 2 | 08/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Eric Ladue | 3177749 | 6 | 08/08/2013 | Customer Dispute | Denied | $10,513.40 | $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 |
| Joseph Angelo Auteri | 2390615 | 9 | 07/30/2013 | Customer Dispute | Denied | $18,809.80 | $0.00 | See FINRA Report |
| Gwendolyn Pudim Tibbals | 1093467 | 14 | 06/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sylvestre Beltran | 6125688 | 1 | 06/13/2013 | Regulatory | Final | $0.00 | $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 |