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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 10/22/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/15/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/11/2014 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 05/29/2014 | Customer Dispute | Pending | $550,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 03/25/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 02/20/2014 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 03/05/2009 | Customer Dispute | Settled | $54,260.00 | $0.00 | See FINRA Report |
| Antonio Salvador Bauza | 860146 | 8 | 11/29/2007 | Customer Dispute | Denied | $24,960.00 | $0.00 | See FINRA Report |
| Antonio Salvador Bauza | 860146 | 8 | 06/09/2006 | Customer Dispute | Denied | $25,560.00 | $0.00 | See FINRA Report |
| Antonio Salvador Bauza | 860146 | 8 | 11/10/2002 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |