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 |
|---|---|---|---|---|---|---|---|---|
| Martin William Padilla | 2442136 | 11 | 11/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 11/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Gaye Marcelli | 1648577 | 1 | 09/10/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 04/08/2020 | Customer Dispute | Settled | $642,224.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 01/08/2020 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Firhan Nasir Choudhary | 3023022 | 1 | 12/06/2019 | Employment Separation After Allegations | $0.00 | $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 |
| Yu Yeung Li | 4810955 | 1 | 07/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Daniel Bergin | 1336791 | 2 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |