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 |
|---|---|---|---|---|---|---|---|---|
| Ted Phung Ngo | 2905920 | 1 | 12/02/2021 | Customer Dispute | Settled | $15,853.70 | $0.00 | See FINRA Report |
| Jeffrey Thomas Beebe | 2365629 | 2 | 12/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Szkotak | 2736016 | 1 | 11/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 11/04/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael G Fisher | 4596313 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Mark Xavier O'Leary | 6774683 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Walton Worth Rogers | 1228957 | 1 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Andrew Moro | 1235680 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph M Garrel | 5720656 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Marcelo Amparan | 7268332 | 1 | 08/24/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |