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 |
|---|---|---|---|---|---|---|---|---|
| Paul Dominic Mangiardi | 5184745 | 1 | 04/07/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Siyuan Lu | 6720778 | 1 | 05/22/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roman Kobrin | 5925579 | 1 | 02/21/2018 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Allen Kecskes | 1938745 | 5 | 07/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Allen Kecskes | 1938745 | 5 | 10/07/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Kecskes | 1938745 | 5 | 09/18/2008 | Customer Dispute | Denied | $13,078.60 | $0.00 | See FINRA Report |
| David Allen Kecskes | 1938745 | 5 | 06/27/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Kecskes | 1938745 | 5 | 07/31/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jay Kevin Falini | 2505077 | 1 | 03/24/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott D Sprandel | 2291857 | 2 | 08/02/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |