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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Kin Ming Chan | 3019411 | 1 | 11/10/2022 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 11/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam David Herzing | 5448024 | 2 | 11/02/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rosa Melkonyan | 5016307 | 1 | 10/14/2022 | Customer Dispute | Withdrawn | $48,667.60 | $0.00 | See FINRA Report |
| Wayne L Rector | 4592089 | 2 | 10/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Frank Careri | 4152329 | 1 | 09/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johnathan Blake Worrells | 6044320 | 1 | 08/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Pierre Manson | 5735488 | 6 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Rose Bauer | 5766264 | 1 | 06/10/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kathy Jane Moritz | 4517320 | 1 | 06/02/2022 | Customer Dispute | Settled | $62,618.00 | $0.00 | See FINRA Report |