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 |
|---|---|---|---|---|---|---|---|---|
| Feng Kou Chen | 6424082 | 3 | 04/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samantha Jill Lompado | 5893501 | 4 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lau | 4567411 | 2 | 03/03/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ivory Jerome Johnson | 2032636 | 1 | 02/14/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Richard Mrozek | 2410838 | 1 | 10/26/2011 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Bernard Plummer | 4634793 | 2 | 11/15/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua John Hattig | 2902616 | 2 | 10/19/2010 | Customer Dispute | Denied | $10,650.00 | $0.00 | See FINRA Report |
| Polly Marie Stoecklein | 1041896 | 2 | 08/22/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua John Hattig | 2902616 | 2 | 11/21/2006 | Customer Dispute | Denied | $70,797.70 | $0.00 | See FINRA Report |