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 |
|---|---|---|---|---|---|---|---|---|
| Natalie Ann Fernandez Lee | 3176265 | 1 | 07/03/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Andrew T O'Sullivan | 4699523 | 1 | 02/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darold Charles Brooks | 839352 | 1 | 10/21/1993 | Customer Dispute | Settled | $22,650.00 | $0.00 | See FINRA Report |
| Ruben Guillermo Fernandez | 206736 | 6 | 11/03/1992 | Customer Dispute | Settled | $176,966.00 | $0.00 | See FINRA Report |