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 |
|---|---|---|---|---|---|---|---|---|
| James Rose | 4842996 | 3 | 11/07/2017 | Regulatory | Final | $0.00 | $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 |
| Jason Lewis Simms | 7333531 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christin M Hinckle | 6060484 | 1 | 05/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Louis Nargentino | 1879020 | 2 | 03/20/2017 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| James Rose | 4842996 | 3 | 02/02/2017 | Regulatory | Final | $0.00 | $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 |
| Martin William Padilla | 2442136 | 11 | 12/20/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |