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FINRA Broker Disclosures for

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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Displaying 10 out of 13 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Keliikai Seto Ah Mook Castillo4858601107/24/2023Employment Separation After Allegations$0.00$0.00See FINRA Report
Thomas Francis Bennett4201609205/26/2023Employment Separation After Allegations$0.00$0.00See FINRA Report
Drew Kent Horter1049771309/08/2021RegulatoryPending$0.00$0.00See FINRA Report
Thomas Francis Bennett4201609203/02/2021Customer DisputeClosed-No Action$5,866.07$0.00See FINRA Report
David Ocasio7320539304/24/2018FinancialFinal$0.00$0.00See FINRA Report
Julie Lynn Ahrens1562156108/18/2006RegulatoryFinal$0.00$0.00See FINRA Report
Geffrey Horace Lewis1060987305/08/2001Customer DisputeSettled$20,000.00$0.00See FINRA Report
David Ocasio7320539311/29/1997CriminalFinal Disposition$0.00$0.00See FINRA Report
Drew Kent Horter1049771307/21/1997Customer DisputeSettled$0.00$0.00See FINRA Report
Drew Kent Horter1049771307/21/1997Customer DisputeSettled$20,000.00$0.00See FINRA Report

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