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 |
|---|---|---|---|---|---|---|---|---|
| Andre C Selfa | 6060137 | 1 | 06/01/2021 | Customer Dispute | Denied | $36,850.00 | $0.00 | See FINRA Report |
| Nathan Loren Enzian | 6297059 | 1 | 04/10/2019 | Customer Dispute | Denied | $49,925.60 | $0.00 | See FINRA Report |
| Gregg Randall Fortune | 2701163 | 9 | 01/13/2015 | Customer Dispute | Denied | $1,717,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Garcia | 2729630 | 1 | 01/27/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| George Michael Mallick | 2469228 | 1 | 08/03/2012 | Customer Dispute | Denied | $220,000.00 | $0.00 | See FINRA Report |
| Shawn Mathew Warren | 2958818 | 3 | 10/20/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Shawn Mathew Warren | 2958818 | 3 | 09/07/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Paul Roger Gugger | 2995371 | 1 | 12/18/2009 | Customer Dispute | Denied | $37,773.20 | $0.00 | See FINRA Report |
| Matthew James Pulsipher | 4264954 | 1 | 12/04/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 03/03/2009 | Customer Dispute | Denied | $6,399.39 | $0.00 | See FINRA Report |