Our Staff has compiled our research into a database of FINRA Broker Disclosures for Investment Placement Group. 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 |
|---|---|---|---|---|---|---|---|---|
| Mauricio U Assael | 5394299 | 2 | 03/01/2022 | Customer Dispute | Pending | $40,000.00 | $0.00 | See FINRA Report |
| Eduardo Alaman | 3142918 | 4 | 02/19/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eduardo Alaman | 3142918 | 4 | 01/16/2014 | Customer Dispute | Settled | $871,277.00 | $0.00 | See FINRA Report |
| Eduardo Alaman | 3142918 | 4 | 09/05/2013 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Javier C Vargas | 2751610 | 1 | 08/19/2013 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Adolfo Gonzalezrubio | 2385116 | 2 | 12/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mauricio U Assael | 5394299 | 2 | 07/22/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eduardo Alaman | 3142918 | 4 | 11/12/2007 | Customer Dispute | Denied | $67,250.00 | $0.00 | See FINRA Report |
| Adolfo Gonzalezrubio | 2385116 | 2 | 10/21/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |