Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Donald Teifer | 4837464 | 2 | 04/02/2019 | Customer Dispute | Closed-No Action | $60,591.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 03/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 03/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 03/03/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 10/31/2018 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 09/10/2018 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/29/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/16/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 08/01/2018 | Customer Dispute | Settled | $651,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 07/31/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |