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 |
---|---|---|---|---|---|---|---|---|
Keliikai Seto Ah Mook Castillo | 4858601 | 1 | 07/24/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Thomas Francis Bennett | 4201609 | 2 | 05/26/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Drew Kent Horter | 1049771 | 3 | 09/08/2021 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
Thomas Francis Bennett | 4201609 | 2 | 03/02/2021 | Customer Dispute | Closed-No Action | $5,866.07 | $0.00 | See FINRA Report |
David Ocasio | 7320539 | 3 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Julie Lynn Ahrens | 1562156 | 1 | 08/18/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Geffrey Horace Lewis | 1060987 | 3 | 05/08/2001 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
David Ocasio | 7320539 | 3 | 11/29/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Drew Kent Horter | 1049771 | 3 | 07/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Drew Kent Horter | 1049771 | 3 | 07/21/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |