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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Iavarone | 2377723 | 2 | 03/03/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Orlando Otoya | 2208241 | 3 | 01/06/1997 | Customer Dispute | Settled | $1,000,170.00 | $0.00 | See FINRA Report |
| Daniel Orlando Otoya | 2208241 | 3 | 01/06/1997 | Customer Dispute | Award / Judgment | $1,701,060.00 | $18,145.00 | See FINRA Report |
| Edward Lavender Moseley | 833771 | 9 | 09/23/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jim Eugene Scala | 2493873 | 6 | 12/16/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Lavender Moseley | 833771 | 9 | 06/22/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Lavender Moseley | 833771 | 9 | 11/12/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Vincent Cantalupo | 3137208 | 5 | 05/12/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |