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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Juan Hua Liang | 6860076 | 2 | 09/15/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Suihock Goy | 2821380 | 10 | 08/02/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 05/03/2021 | Customer Dispute | Settled | $9,500.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 03/12/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Theodore Hendrickus Franse | 1418012 | 8 | 05/05/2017 | Customer Dispute | Settled | $22,300.00 | $0.00 | See FINRA Report |
| Martin Allan Barth | 1030462 | 1 | 01/23/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Norman Hugh Meyer | 3185642 | 4 | 05/01/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |