Our Staff has compiled our research into a database of FINRA Broker Disclosures for XML Securities. 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 |
|---|---|---|---|---|---|---|---|---|
| John Richard May | 872582 | 1 | 11/03/2008 | Customer Dispute | Closed-No Action | $25,205.00 | $0.00 | See FINRA Report |
| Brett Shane Bernstein | 3103034 | 1 | 12/20/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |