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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Anthony Michael Hanley | 4478784 | 2 | 06/15/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth James New | 2836918 | 3 | 02/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Merlin Earl Ames | 5039655 | 4 | 06/07/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 01/27/2012 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Christopher Edward Bond | 4658534 | 3 | 01/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Eric Cross | 4522751 | 1 | 01/07/2012 | Customer Dispute | Settled | $44,810.60 | $0.00 | See FINRA Report |
| Paul Hunt Espey | 4768872 | 1 | 01/07/2012 | Customer Dispute | Settled | $44,810.60 | $0.00 | See FINRA Report |
| Mark Darren Cohen | 2054897 | 1 | 01/04/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |