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 |
|---|---|---|---|---|---|---|---|---|
| Brenton William Collins | 4915000 | 3 | 09/15/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Harman Mogul | 2834356 | 2 | 09/13/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 07/01/2010 | Customer Dispute | Award / Judgment | $925,000.00 | $0.00 | See FINRA Report |
| Brenton William Collins | 4915000 | 3 | 02/05/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Nicholas Gregg Boetjer | 5113754 | 1 | 01/15/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Young Choi | 2453451 | 1 | 01/11/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Damany Eric Henry | 2846968 | 1 | 06/15/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 06/03/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 02/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Carl Hock | 2246268 | 1 | 10/15/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |