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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Luis Rivera Vazquez | 4205969 | 3 | 12/10/2018 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Rivera Vazquez | 4205969 | 3 | 02/24/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roberto Luis Rivera Vazquez | 4205969 | 3 | 04/13/2016 | Customer Dispute | Settled | $41,743.00 | $0.00 | See FINRA Report |