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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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Carlos Marbot | 7277210 | 2 | 04/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Marbot | 7277210 | 2 | 03/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Guy Stewart | 1478381 | 1 | 06/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 02/11/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Forrest Morgan | 3224187 | 5 | 02/11/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 07/03/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Craig Scimeca | 6544454 | 1 | 05/09/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 03/08/2011 | Customer Dispute | Closed-No Action | $855,387.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 03/08/2011 | Customer Dispute | Closed-No Action | $432,878.00 | $0.00 | See FINRA Report |
| Shawn Forrest Morgan | 3224187 | 5 | 03/08/2011 | Customer Dispute | Closed-No Action | $855,387.00 | $0.00 | See FINRA Report |