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 | 07/17/2015 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 06/08/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 06/02/2015 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 06/02/2015 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 03/13/2015 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 01/13/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 12/15/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 11/06/2014 | Customer Dispute | Settled | $72,500.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 10/28/2014 | Customer Dispute | Settled | $187,867.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 10/22/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |