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 |
|---|---|---|---|---|---|---|---|---|
| Jose Arturo Ramos Rios | 4159163 | 5 | 12/09/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carmelo Arce Alvarez | 5526419 | 1 | 11/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Bravo | 1826688 | 27 | 10/22/2019 | Customer Dispute | Settled | $1,158,410.00 | $0.00 | See FINRA Report |
| Jorge Bravo | 1826688 | 27 | 10/18/2019 | Customer Dispute | Settled | $117,711.00 | $0.00 | See FINRA Report |
| Robert Joseph Lapetina | 2547888 | 66 | 10/17/2019 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Lapetina | 2547888 | 66 | 10/10/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Santiago Perez | 4586877 | 4 | 10/03/2019 | Customer Dispute | Pending | $1,311,500.00 | $0.00 | See FINRA Report |
| Jose Arturo Ramos Rios | 4159163 | 5 | 09/26/2019 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Gustavo Velazquez Melendez | 4477946 | 34 | 09/13/2019 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Lapetina | 2547888 | 66 | 09/12/2019 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |