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 Andres Rodriguez de Gracia | 4888179 | 23 | 03/09/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 12/28/2015 | Customer Dispute | Denied | $17,498.80 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 11/13/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 09/22/2015 | Customer Dispute | Settled | $620,887.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 09/22/2015 | Customer Dispute | Settled | $620,887.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 09/08/2015 | Customer Dispute | Settled | $1,477,440.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 09/08/2015 | Customer Dispute | Settled | $1,477,440.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 09/03/2015 | Customer Dispute | Settled | $266,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 09/03/2015 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 09/03/2015 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |