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 |
|---|---|---|---|---|---|---|---|---|
| John C Shen | 4859035 | 3 | 09/06/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John C Shen | 4859035 | 3 | 02/09/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Connie B Chung | 6406698 | 1 | 09/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 08/05/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Milton J Beile III | 4265262 | 3 | 06/17/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |