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 |
|---|---|---|---|---|---|---|---|---|
| Steven Anthony Busto | 2522780 | 6 | 04/11/2011 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Ronald Vincent Cantalupo | 3137208 | 5 | 03/30/2011 | Customer Dispute | Closed-No Action | $11,948.60 | $0.00 | See FINRA Report |
| Edward Lavender Moseley | 833771 | 9 | 09/28/2010 | Judgment / Lien | $0.00 | $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 |
| Edward Lavender Moseley | 833771 | 9 | 07/19/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Christopher Frasco | 2111432 | 3 | 03/26/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 03/24/2010 | Customer Dispute | Settled | $15,026.00 | $0.00 | See FINRA Report |
| Hakim Atiba Donadelle | 2477436 | 8 | 07/01/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Becker | 2592410 | 4 | 05/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |