Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Jay Sailesh Sheth | 4656009 | 4 | 09/06/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Kenneth James New | 2836918 | 3 | 06/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Avi J Bialo | 6165479 | 5 | 06/06/2022 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Morgan Darby Hill | 4428819 | 5 | 06/06/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 02/04/2022 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 09/23/2021 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Fratesi | 1373072 | 3 | 08/23/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph A Gileno | 5878977 | 1 | 08/17/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 11/05/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Frederick Maximilian Kort | 5376727 | 3 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See FINRA Report |