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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Lee Wilson | 3088187 | 3 | 02/22/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Alan Schwartz | 841225 | 5 | 01/27/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kathryn Aiksnoras Dennen | 6174969 | 1 | 12/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Alan Schwartz | 841225 | 5 | 11/21/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Lee Wilson | 3088187 | 3 | 10/16/2019 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |
| Michael Thomas Lee | 4502893 | 1 | 07/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Alan Schwartz | 841225 | 5 | 02/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Dise | 2299007 | 3 | 01/29/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Alan Schwartz | 841225 | 5 | 08/27/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Elisea Tantuan Frishberg | 2092508 | 3 | 08/20/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |