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 |
|---|---|---|---|---|---|---|---|---|
| Robert Allan Mann | 2847134 | 3 | 01/08/2020 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Russell Marc Fiske | 1923202 | 1 | 11/26/2019 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Keith Thomas Zdrowak | 2491761 | 2 | 11/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew H Bloom | 4387784 | 2 | 03/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 02/12/2018 | Customer Dispute | Settled | $224,968.00 | $0.00 | See FINRA Report |
| Dolores Kong | 4470059 | 3 | 10/23/2017 | Customer Dispute | Settled | $95,944.00 | $0.00 | See FINRA Report |
| Dolores Kong | 4470059 | 3 | 10/23/2017 | Customer Dispute | Settled | $67,000.00 | $0.00 | See FINRA Report |
| Joseph Thomas Finnerty | 6512562 | 1 | 08/31/2017 | Customer Dispute | Denied | $13,667.20 | $0.00 | See FINRA Report |
| Frank Louis Nargentino | 1879020 | 2 | 03/20/2017 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 12/22/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |