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 |
|---|---|---|---|---|---|---|---|---|
| Baris Cabalar | 4749342 | 9 | 07/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steve Baptist | 5885870 | 2 | 05/29/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Jemel Steward | 3241331 | 2 | 04/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Jude Ketner | 1138522 | 12 | 03/27/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Lastihenos | 2621258 | 7 | 02/13/2018 | Customer Dispute | Settled | $42,841.60 | $0.00 | See FINRA Report |
| Steven Anthony Busto | 2522780 | 6 | 02/04/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Jude Ketner | 1138522 | 12 | 10/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Roizman | 4502751 | 3 | 09/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Lastihenos | 2621258 | 7 | 03/23/2017 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Eduardo Gerena | 3165444 | 5 | 03/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |