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 |
|---|---|---|---|---|---|---|---|---|
| Brian Alexander Bengry | 4003547 | 2 | 04/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Ramos | 1613649 | 4 | 12/26/2007 | Customer Dispute | Dismissed | $2,000,000.00 | $0.00 | See FINRA Report |
| Samuel Dale Mitchell | 4412198 | 3 | 11/20/2007 | Customer Dispute | Denied | $19,580.20 | $0.00 | See FINRA Report |
| Charles Joseph Ramos | 1613649 | 4 | 10/25/2007 | Customer Dispute | Settled | $17,500,000.00 | $0.00 | See FINRA Report |
| Charles Joseph Ramos | 1613649 | 4 | 08/01/2007 | Customer Dispute | Dismissed | $1,150,000.00 | $0.00 | See FINRA Report |
| James Joel Ward | 2167948 | 1 | 09/18/2006 | Customer Dispute | Denied | $180,776.00 | $0.00 | See FINRA Report |
| Samuel Dale Mitchell | 4412198 | 3 | 10/28/2004 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Lewis Daniel Akers | 2883544 | 1 | 09/10/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Alan Massart | 2332208 | 1 | 05/21/2001 | Customer Dispute | Denied | $5,791.00 | $0.00 | See FINRA Report |
| Mark Demosthenes Generales | 854190 | 3 | 09/14/1987 | Customer Dispute | Settled | $57,918.50 | $0.00 | See FINRA Report |