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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Christopher Edward Bond | 4658534 | 3 | 09/22/2016 | Customer Dispute | Closed-No Action | $546,735.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 04/07/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 06/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Lawrence Cantor | 2881471 | 2 | 11/12/2013 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 10/29/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 10/07/2013 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 09/11/2013 | Customer Dispute | Closed-No Action | $199,000.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 06/19/2013 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 06/17/2013 | Customer Dispute | Settled | $76,019.00 | $0.00 | See FINRA Report |