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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Patrick Kenney | 1580177 | 1 | 10/11/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dolores Kong | 4470059 | 3 | 10/03/2016 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey J Carter | 5332331 | 3 | 07/27/2016 | Customer Dispute | Denied | $16,800.00 | $0.00 | See FINRA Report |
| Benjamin Davis Prescott | 5153942 | 1 | 07/06/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 06/13/2016 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Ralph E Derose | 721488 | 4 | 03/15/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $1,044,780.00 | See FINRA Report |
| Kyle Michael Rainwater | 5958086 | 3 | 02/05/2016 | Customer Dispute | Settled | $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 |
| Kurt John Hilger | 2897097 | 1 | 07/20/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Edwin Herman | 243857 | 2 | 07/08/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |