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 |
|---|---|---|---|---|---|---|---|---|
| Ramon Valdez | 2592276 | 14 | 09/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David J Llewellyn | 5288989 | 1 | 09/19/2020 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| James C Docster | 4278411 | 3 | 09/15/2020 | Customer Dispute | Denied | $33,154.50 | $0.00 | See FINRA Report |
| Vipul Mallick | 2940443 | 1 | 08/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 08/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Thomas Rohrer | 2140603 | 5 | 07/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Lloyd Smelser | 2338831 | 2 | 06/29/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Tadeusz Robert Markow | 2307025 | 2 | 06/04/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| William Perry Randall | 1392233 | 2 | 06/01/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Mark William Menard | 2066519 | 2 | 06/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |