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 | 01/29/2021 | Employment Separation After Allegations | $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 | |
| Kenneth Mathieson | 1730324 | 5 | 03/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |