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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Ruben Alvarado | 1329628 | 30 | 05/10/2017 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 05/08/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 11/07/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 06/16/2016 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 05/31/2016 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 04/25/2016 | Customer Dispute | Settled | $62,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 04/18/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 11/12/2015 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 10/08/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 09/17/2015 | Customer Dispute | Settled | $1,340,000.00 | $0.00 | See FINRA Report |