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 |
|---|---|---|---|---|---|---|---|---|
| Rick Isaac Harbus | 2278654 | 3 | 12/13/2023 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Kenji Saito | 5695201 | 2 | 06/29/2023 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Kenji Saito | 5695201 | 2 | 09/15/2021 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| William George Decker | 7195060 | 1 | 08/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Alberto Meza | 3129046 | 1 | 02/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Jacob Esther | 6929011 | 3 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Edward Dennison | 5701934 | 1 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Jacob Esther | 6929011 | 3 | 08/14/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin James Imhoff | 1464384 | 4 | 03/15/2012 | Customer Dispute | Settled | $565,390.00 | $0.00 | See FINRA Report |
| Paul Raymond Morehouse | 5831813 | 1 | 02/07/2012 | Customer Dispute | Settled | $206,777.00 | $0.00 | See FINRA Report |