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 |
|---|---|---|---|---|---|---|---|---|
| Jaime Sanchez Yarza | 4010049 | 1 | 06/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tony Esses | 4643285 | 2 | 04/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tony Esses | 4643285 | 2 | 12/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Stuart Leventhal | 2745829 | 2 | 12/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Woong Seong Hwang | 4400271 | 4 | 06/03/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marivi Rodriguez | 2423159 | 1 | 05/31/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Jose Rodriguez | 1479353 | 1 | 05/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johanna Haza | 5360011 | 2 | 01/23/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Stuart Leventhal | 2745829 | 2 | 05/16/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johanna Haza | 5360011 | 2 | 03/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |