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 |
|---|---|---|---|---|---|---|---|---|
| Brian James Pavelko | 6347352 | 1 | 09/10/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| John C Shen | 4859035 | 3 | 09/06/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Hugh Meyer | 3185642 | 4 | 07/18/2024 | Customer Dispute | Pending | $650,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 05/16/2024 | Customer Dispute | Pending | $210,000.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 12/20/2023 | Customer Dispute | Pending | $13,940.80 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 08/05/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 04/21/2023 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 04/21/2023 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 04/21/2023 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 03/01/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |