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 |
|---|---|---|---|---|---|---|---|---|
| Chris Schafersman | 5819618 | 1 | 04/09/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Sia | 6887569 | 1 | 03/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blaze Pascal Heuga | 6546011 | 1 | 04/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Henderson | 6436062 | 2 | 04/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cesar David Arriaza | 5473181 | 1 | 03/03/2011 | Customer Dispute | Closed-No Action | $7,333.32 | $0.00 | See FINRA Report |
| John Wayne Davis | 2392753 | 1 | 09/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keng Taing | 4655742 | 1 | 10/20/2009 | Customer Dispute | Denied | $15,086.80 | $0.00 | See FINRA Report |
| Eric Jon Handis | 2399280 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wade Michael Engebretson | 6655311 | 1 | 04/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Gruenes | 4238652 | 1 | 04/06/2009 | Customer Dispute | Settled | $4,193.00 | $0.00 | See FINRA Report |