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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Patrick King | 5586602 | 1 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Justin Caplen | 4212281 | 1 | 10/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 08/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yitzchok Asher Goodman | 1052215 | 6 | 08/06/2018 | Employment Separation After Allegations | $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 |
| Joseph Daniel Bergin | 1336791 | 2 | 02/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 01/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lynette A Lisiewski | 1308308 | 1 | 01/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 12/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |