Our Staff has compiled our research into a database of FINRA Broker Disclosures for PHX Financial, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Kirt Samuel | 4807353 | 3 | 02/02/2012 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 12/15/2011 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 05/17/2011 | Customer Dispute | Settled | $40,592.00 | $0.00 | See FINRA Report |
| Steven Anthony Busto | 2522780 | 6 | 04/11/2011 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Lastihenos | 2621258 | 7 | 09/15/2010 | Customer Dispute | Settled | $20,499.70 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 08/20/2010 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 03/24/2010 | Customer Dispute | Settled | $15,026.00 | $0.00 | See FINRA Report |
| Alexander Humberto Stern | 2471393 | 4 | 12/01/2008 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 08/01/2006 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Sean Michael Case | 3090136 | 1 | 05/11/2006 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |