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 |
| Nicholas Anthony Pfeiffer | 5280487 | 2 | 03/22/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Ferris Jeung | 2690182 | 3 | 09/10/2009 | Customer Dispute | Denied | $791,000.00 | $0.00 | See FINRA Report |
| James Douglas Dickey | 3256135 | 2 | 10/14/2008 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Annunziata | 718310 | 1 | 08/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Dowd | 1272134 | 2 | 10/26/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Metviner | 1178560 | 4 | 05/20/2002 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| James Douglas Anderson | 1756026 | 5 | 03/06/2002 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |