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 |
|---|---|---|---|---|---|---|---|---|
| Stephen T Tu | 5565787 | 2 | 02/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Ray Wong | 3090301 | 1 | 06/03/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Prue | 1112160 | 2 | 01/25/2012 | Customer Dispute | Settled | $119,163.00 | $0.00 | See FINRA Report |
| James Douglas Anderson | 1756026 | 5 | 09/29/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 06/23/2011 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Pfeiffer | 5280487 | 2 | 03/22/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 12/27/2010 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 11/05/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Pfeiffer | 5280487 | 2 | 10/20/2010 | Customer Dispute | Settled | $177,040.00 | $0.00 | See FINRA Report |
| Jason Lee Seale | 1874548 | 10 | 08/07/2010 | Customer Dispute | Closed-No Action | $5,438.88 | $0.00 | See FINRA Report |