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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Felipe Garcia | 1877805 | 3 | 10/01/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luis Antonio Delgado | 4990149 | 3 | 09/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Antonio Delgado | 4990149 | 3 | 05/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Manuel Doria | 3157084 | 2 | 03/13/2017 | Customer Dispute | Withdrawn | $18,000.00 | $0.00 | See FINRA Report |
| Rafael Moreno | 4370359 | 3 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Antonio Gomez Real | 5918120 | 1 | 02/21/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Annette Marie Manon | 2905638 | 3 | 08/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Moreno | 4370359 | 3 | 08/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Antonio Delgado | 4990149 | 3 | 09/28/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roberto Felipe Garcia | 1877805 | 3 | 09/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |