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 |
|---|---|---|---|---|---|---|---|---|
| Connor Joseph Todd | 5196638 | 1 | 08/23/2023 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Edward Felix Dublis | 1080504 | 2 | 09/09/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Barry Robert Bynum | 3018458 | 1 | 03/19/2021 | Customer Dispute | Closed-No Action | $35,447.60 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 5 | 12/07/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nestor Ruben Montoya | 3046697 | 1 | 04/16/2020 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Diane Moen Weyrick | 2033499 | 1 | 10/10/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel F Girard | 4242255 | 1 | 09/19/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Elaine Roecklein | 4953322 | 1 | 09/09/2015 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Mark Philip Vaclavicek | 1261541 | 2 | 01/02/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Limon | 5418812 | 1 | 08/18/2014 | Customer Dispute | Closed-No Action | $24,248.00 | $0.00 | See FINRA Report |