Our Staff has compiled our research into a database of FINRA Broker Disclosures for NI Advisors. 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 |
|---|---|---|---|---|---|---|---|---|
| Lei Shen | 5769894 | 3 | 01/06/2023 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 9 | 11/21/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| David Theodore Bulow | 5834367 | 2 | 09/15/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Juan Hua Liang | 6860076 | 1 | 09/15/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Shirley Ank Wong | 4869184 | 4 | 09/10/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 9 | 08/25/2022 | Customer Dispute | Pending | $296,460.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 3 | 08/02/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Shirley Ank Wong | 4869184 | 4 | 08/02/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 9 | 06/21/2022 | Customer Dispute | Pending | $399,000.00 | $0.00 | See FINRA Report |
| Shirley Ank Wong | 4869184 | 4 | 06/07/2022 | Customer Dispute | Pending | $505,700.00 | $0.00 | See FINRA Report |