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 |
|---|---|---|---|---|---|---|---|---|
| Henry Chia-How Chang | 4049732 | 5 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Shtaynberger | 2077298 | 2 | 04/28/2023 | Customer Dispute | Award / Judgment | $0.00 | $57,375.40 | See FINRA Report |
| Alex Shtaynberger | 2077298 | 2 | 12/14/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Henrique David Lucena | 5605196 | 3 | 07/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henrique David Lucena | 5605196 | 3 | 03/05/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Chia-How Chang | 4049732 | 5 | 01/29/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Henrique David Lucena | 5605196 | 3 | 11/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry Chia-How Chang | 4049732 | 5 | 10/16/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sachin Kumar | 5295758 | 3 | 05/26/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sachin Kumar | 5295758 | 3 | 07/29/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |