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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Vincent Cantalupo | 3137208 | 5 | 05/10/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Alan Hermes | 4200965 | 4 | 05/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Hermes | 4200965 | 4 | 05/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirt Samuel | 4807353 | 3 | 02/02/2012 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael Roizman | 4502751 | 3 | 12/31/2011 | Judgment / Lien | $0.00 | $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 | 12/12/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Lavender Moseley | 833771 | 9 | 09/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Jude Ketner | 1138522 | 12 | 05/17/2011 | Customer Dispute | Settled | $40,592.00 | $0.00 | See FINRA Report |
| Serge Parakhnevich | 5493064 | 7 | 05/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |