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 |
|---|---|---|---|---|---|---|---|---|
| William Russell Lloyd | 1995407 | 3 | 01/21/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 11/23/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 11/04/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 10/21/2009 | Customer Dispute | Settled | $1,230,000.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 06/25/2009 | Customer Dispute | Settled | $71,873.00 | $0.00 | See FINRA Report |
| James Charles Protigal | 2187244 | 8 | 02/09/2009 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| William Russell Lloyd | 1995407 | 3 | 12/12/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Charles Protigal | 2187244 | 8 | 05/22/2008 | Customer Dispute | Settled | $30,448.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 09/11/2007 | Customer Dispute | Denied | $13,595.30 | $0.00 | See FINRA Report |
| James Charles Protigal | 2187244 | 8 | 10/09/2006 | Customer Dispute | Settled | $5,761.87 | $0.00 | See FINRA Report |