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 |
|---|---|---|---|---|---|---|---|---|
| Nasser Ahmad | 5526341 | 1 | 02/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Leonard Lee Nelson | 1336235 | 1 | 07/18/2023 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| William John Rolser | 2635236 | 1 | 07/12/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andre C Selfa | 6060137 | 1 | 06/01/2021 | Customer Dispute | Denied | $36,850.00 | $0.00 | See FINRA Report |
| Gregg Randall Fortune | 2701163 | 9 | 11/16/2020 | Customer Dispute | Closed-No Action | $16,434.60 | $0.00 | See FINRA Report |
| Daniel James Claric | 4797769 | 2 | 03/27/2020 | Customer Dispute | Settled | $88,000.00 | $0.00 | See FINRA Report |
| Daniel James Claric | 4797769 | 2 | 12/23/2019 | Customer Dispute | Settled | $975,000.00 | $0.00 | See FINRA Report |
| Nathan Loren Enzian | 6297059 | 1 | 04/10/2019 | Customer Dispute | Denied | $49,925.60 | $0.00 | See FINRA Report |
| Richard Peter Gigliotti | 4338840 | 1 | 03/21/2019 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Theodore Stewart Lorenzen | 2044769 | 5 | 06/18/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |