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 | 02/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 09/19/2018 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 07/06/2018 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/06/2018 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 06/12/2018 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 10/30/2017 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 09/14/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 07/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 02/02/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |