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 |
|---|---|---|---|---|---|---|---|---|
| Phillip I Pedrena | 5325712 | 1 | 08/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Woong Seong Hwang | 4400271 | 4 | 07/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Wayne Woolford | 1967193 | 4 | 03/21/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 03/21/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Keith Mayo | 1200137 | 5 | 05/20/2016 | Customer Dispute | Settled | $20,862.00 | $0.00 | See FINRA Report |
| Sebastian Ramos | 5390647 | 2 | 01/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sebastian Ramos | 5390647 | 2 | 01/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 10/28/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 04/09/2013 | Customer Dispute | Settled | $336,212.00 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 03/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |