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FINRA Broker Disclosures for

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.

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Displaying 4 out of 4 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Richard Shu4356690412/06/2012Customer DisputeSettled$0.00$0.00See FINRA Report
Richard Shu4356690405/10/2012RegulatoryFinal$0.00$0.00See FINRA Report
Richard Shu4356690407/02/2010Employment Separation After Allegations$0.00$0.00See FINRA Report
Richard Shu4356690412/12/2006Customer DisputeSettled$15,220.00$0.00See FINRA Report

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