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 |
|---|---|---|---|---|---|---|---|---|
| German Ricardo Mora | 5032958 | 3 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Flanagan Prina | 1580173 | 2 | 04/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jean Flanagan Prina | 1580173 | 2 | 04/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| German Ricardo Mora | 5032958 | 3 | 01/25/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| German Ricardo Mora | 5032958 | 3 | 11/11/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Johan Maurits Oeyen | 4437410 | 1 | 11/25/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Cherry | 4722730 | 1 | 11/25/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Vytautas MacYs | 5927778 | 3 | 10/07/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert S Allen | 4747944 | 2 | 06/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert S Allen | 4747944 | 2 | 08/15/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |