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 |
|---|---|---|---|---|---|---|---|---|
| Johan Leif Backlin | 4504080 | 2 | 02/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Johan Leif Backlin | 4504080 | 2 | 02/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Delaplain | 1017107 | 2 | 12/18/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Shabrack | 5027566 | 2 | 10/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph McCauley | 6337375 | 2 | 09/28/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Shabrack | 5027566 | 2 | 09/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Serge Parakhnevich | 5493064 | 7 | 08/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph McCauley | 6337375 | 2 | 06/10/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Vincent John Villani | 4296670 | 4 | 06/01/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Serge Parakhnevich | 5493064 | 7 | 04/22/2020 | Customer Dispute | Settled | $249,281.00 | $0.00 | See FINRA Report |