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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Javier Omar Larrea | 2872807 | 1 | 03/16/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 05/27/2005 | Customer Dispute | Settled | $189,045.00 | $0.00 | See FINRA Report |
| David Joseph Cottam | 2716994 | 5 | 09/19/2002 | Customer Dispute | Settled | $289,640.00 | $0.00 | See FINRA Report |
| David Joseph Cottam | 2716994 | 5 | 03/12/2002 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| David Joseph Cottam | 2716994 | 5 | 02/28/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Cottam | 2716994 | 5 | 03/16/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |