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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly A Mallas | 6740417 | 2 | 01/18/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Feng Kou Chen | 6424082 | 3 | 08/22/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly A Mallas | 6740417 | 2 | 06/14/2023 | Customer Dispute | Pending | $14,817.30 | $0.00 | See FINRA Report |
| James Bernard Plummer | 4634793 | 2 | 05/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 04/28/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 03/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Steiner | 5620516 | 1 | 12/20/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Lau | 4567411 | 2 | 11/18/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Feng Kou Chen | 6424082 | 3 | 10/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Polly Marie Stoecklein | 1041896 | 2 | 05/31/2022 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |