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 |
|---|---|---|---|---|---|---|---|---|
| Charles David Lautz | 2493734 | 2 | 01/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles David Lautz | 2493734 | 2 | 12/21/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Francisco Malfavon | 5116125 | 3 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Malfavon | 5116125 | 3 | 03/04/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Francisco Malfavon | 5116125 | 3 | 09/19/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bernardo Hubard | 5051597 | 1 | 05/27/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jesus Heiras | 4368282 | 1 | 07/02/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Oscar R Flores | 861991 | 3 | 01/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Oscar R Flores | 861991 | 3 | 05/09/2001 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Antonio Fernando Mariscal Romero | 6619179 | 1 | 07/26/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |