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 |
|---|---|---|---|---|---|---|---|---|
| Richard Shu | 4356690 | 4 | 12/06/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Shu | 4356690 | 4 | 12/12/2006 | Customer Dispute | Settled | $15,220.00 | $0.00 | See FINRA Report |