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 |
|---|---|---|---|---|---|---|---|---|
| Nick Eugene Son | 1178523 | 4 | 12/22/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jay Shah | 4733217 | 2 | 08/03/2015 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Daniel A Claps | 1841040 | 1 | 06/23/2009 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| William Ogden Plyler | 4230225 | 1 | 12/30/2008 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Kelly Graham | 1767353 | 1 | 08/07/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 02/19/2008 | Customer Dispute | Closed-No Action | $18,357.00 | $0.00 | See FINRA Report |
| Darren Keefe Daye | 3032746 | 2 | 12/07/2006 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 03/07/2005 | Customer Dispute | Closed-No Action | $49,875.00 | $0.00 | See FINRA Report |
| Matthew Bruce Schechner | 2383117 | 2 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |
| Kerry L Hoffman | 2224354 | 4 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |