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 |
|---|---|---|---|---|---|---|---|---|
| Jameson Alan van Houten | 2771800 | 2 | 07/11/2022 | Customer Dispute | Settled | $570,000.00 | $0.00 | See FINRA Report |
| Michael Shawn Welch | 4215661 | 1 | 04/01/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Zhang | 5410197 | 1 | 03/15/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Dale Mitchell | 4412198 | 3 | 02/24/2021 | Customer Dispute | Settled | $183,597.00 | $0.00 | See FINRA Report |
| Mollie Becker Taylor | 5856232 | 1 | 09/05/2018 | Customer Dispute | Award / Judgment | $4,615.00 | $1,644.00 | See FINRA Report |
| Daniel Ray Saur | 2424518 | 3 | 12/19/2017 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Daniel Ray Saur | 2424518 | 3 | 01/12/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Daniel Ray Saur | 2424518 | 3 | 11/09/2015 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Mark Demosthenes Generales | 854190 | 3 | 11/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Steven Wolff | 2339538 | 1 | 10/01/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |