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 |
|---|---|---|---|---|---|---|---|---|
| John Lino Grillo | 2643787 | 3 | 06/22/2018 | Customer Dispute | Settled | $447,000.00 | $0.00 | See FINRA Report |
| Michael R Curley | 1789723 | 1 | 06/21/2018 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Richard Walter Stumpf | 1454350 | 1 | 06/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Travis Jonathon Whitaker | 5953984 | 1 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 06/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Thomas Rohrer | 2140603 | 5 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erich Alexander Kelley | 6610102 | 1 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Olivier Allain | 4265775 | 1 | 05/30/2018 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 05/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Aloysius Locke | 1980843 | 9 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |