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 |
|---|---|---|---|---|---|---|---|---|
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Alexa Sider Pao | 5675301 | 1 | 07/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tara Cole Ellis | 5058128 | 2 | 07/02/2021 | Customer Dispute | Settled | $34,106.60 | $0.00 | See FINRA Report |
| Victoria Lucrecia Staudinger | 5099697 | 1 | 04/30/2021 | Customer Dispute | Settled | $1,440,830.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 04/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Lynn Wilson | 2452141 | 1 | 04/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 04/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Blaine Kristopher Johnson | 5587927 | 2 | 03/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry Anne Matthews | 6549120 | 1 | 03/22/2021 | Customer Dispute | Denied | $45,850.00 | $0.00 | See FINRA Report |
| Thomas J Kanaley | 4299839 | 8 | 03/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |