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 |
|---|---|---|---|---|---|---|---|---|
| Hui Wen Qin | 4703845 | 1 | 05/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Hendrickus Franse | 1418012 | 8 | 04/10/2017 | Employment Separation After Allegations | $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 |
| Milton J Beile III | 4265262 | 3 | 05/10/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Norman Hugh Meyer | 3185642 | 4 | 04/15/2013 | Customer Dispute | Denied | $14,000.00 | $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 |
| Norman Hugh Meyer | 3185642 | 4 | 04/17/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |