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 |
|---|---|---|---|---|---|---|---|---|
| Walter Roland Valenzuela | 2280224 | 16 | 04/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew David Raves | 5615774 | 8 | 01/12/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 12/19/2023 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Charles L Palmer | 4783503 | 2 | 12/04/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Girish Prakash Navare | 5901641 | 2 | 07/28/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 04/12/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Overton Carlock | 5040696 | 1 | 02/01/2023 | Customer Dispute | Denied | $26,073.60 | $0.00 | See FINRA Report |
| Jose R Vidueira | 2307554 | 1 | 09/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 09/15/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lisa M Turner | 4382665 | 1 | 05/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |