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 |
|---|---|---|---|---|---|---|---|---|
| William Hennion | 2048378 | 3 | 11/22/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lauren Christine Frahn | 4565805 | 1 | 04/08/2022 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| William Hennion | 2048378 | 3 | 07/12/2019 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Marc S Strafaci | 5562238 | 3 | 04/04/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Brady Jr | 5692946 | 1 | 09/19/2018 | Customer Dispute | Denied | $5,925.00 | $0.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 09/04/2018 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Zachary Colin Armstrong | 6091357 | 1 | 06/29/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $41,957.10 | See FINRA Report |
| Brian Christopher Rieman | 4427713 | 1 | 06/26/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Stanley MacKenzie | 2981415 | 1 | 03/05/2018 | Customer Dispute | Withdrawn | $160,000.00 | $0.00 | See FINRA Report |
| Justin Taejun Yoon | 3258911 | 2 | 11/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |