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 |
|---|---|---|---|---|---|---|---|---|
| Antonio Salvador Bauza | 860146 | 8 | 02/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 10/31/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 10/31/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 10/14/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 10/14/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 10/09/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Andres Rodriguez de Gracia | 4888179 | 23 | 08/15/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 08/15/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/31/2019 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 07/30/2019 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |