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 |
|---|---|---|---|---|---|---|---|---|
| Sachin Kumar | 5295758 | 3 | 06/26/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Henry Chia-How Chang | 4049732 | 5 | 04/12/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Mathieson | 1730324 | 5 | 11/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Mathieson | 1730324 | 5 | 03/03/2016 | Regulatory | Final | $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 | |
| Henry Chia-How Chang | 4049732 | 5 | 03/12/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Terry Parker | 2762117 | 2 | 06/11/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Kenneth Mathieson | 1730324 | 5 | 01/31/2002 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Matthew Terry Parker | 2762117 | 2 | 05/04/2001 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth Mathieson | 1730324 | 5 | 03/24/1998 | Customer Dispute | Denied | $9,800.00 | $0.00 | See FINRA Report |