Our Staff has compiled our research into a database of FINRA Broker Disclosures for Compass Point Research & Trading, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Casey Jay Alexander | 723864 | 3 | 12/02/2014 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| Scott Eric Dreyer | 717434 | 3 | 12/20/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Eric Dreyer | 717434 | 3 | 04/26/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Casey Jay Alexander | 723864 | 3 | 08/22/1994 | Customer Dispute | Settled | $29,758.00 | $0.00 | See FINRA Report |
| Eric Francis Billings | 1050612 | 1 | 02/17/1994 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Casey Jay Alexander | 723864 | 3 | 01/25/1989 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Scott Eric Dreyer | 717434 | 3 | 04/27/1984 | Customer Dispute | Settled | $67,500.50 | $0.00 | See FINRA Report |