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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Forrest Morgan | 3224187 | 5 | 03/08/2011 | Customer Dispute | Closed-No Action | $432,878.00 | $0.00 | See FINRA Report |
| Shawn Forrest Morgan | 3224187 | 5 | 04/26/2010 | Customer Dispute | Closed-No Action | $424,000.00 | $0.00 | See FINRA Report |
| Shawn Forrest Morgan | 3224187 | 5 | 01/27/2010 | Customer Dispute | Closed-No Action | $119,409.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 07/30/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 07/30/2009 | Customer Dispute | Closed-No Action | $115,000.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 07/30/2009 | Customer Dispute | Closed-No Action | $977,864.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 07/30/2009 | Customer Dispute | Closed-No Action | $650,000.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 04/04/2009 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Javier Omar Larrea | 2872807 | 1 | 03/16/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| David Joseph Cottam | 2716994 | 5 | 02/14/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |