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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Joseph Carazo | 2176088 | 8 | 12/13/2010 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 06/01/2010 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 05/25/2010 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 05/21/2010 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Carazo | 2176088 | 8 | 04/02/2010 | Customer Dispute | Settled | $200,000.00 | $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 |