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 |
|---|---|---|---|---|---|---|---|---|
| Ali Barry Mahlooji | 4830105 | 5 | 06/09/2015 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| William Christopher Frasco | 2111432 | 3 | 04/13/2015 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Mark Jude Ketner | 1138522 | 12 | 04/06/2015 | Customer Dispute | Award / Judgment | $475,000.00 | $199,788.00 | See FINRA Report |
| Baris Cabalar | 4749342 | 9 | 02/23/2015 | Customer Dispute | Settled | $43,669.50 | $0.00 | See FINRA Report |
| Alexander Humberto Stern | 2471393 | 4 | 01/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Charles Delaplain | 1017107 | 2 | 10/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eduardo Gerena | 3165444 | 5 | 09/29/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Albert Ryer | 4655803 | 6 | 09/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Becker | 2592410 | 4 | 09/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Albert Ryer | 4655803 | 6 | 06/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |