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 |
|---|---|---|---|---|---|---|---|---|
| Herbert Suekichi Shiraishi | 1835557 | 5 | 05/14/2018 | Customer Dispute | Closed-No Action | $25,500.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/23/2017 | Customer Dispute | Denied | $7,708.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/19/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason Lloyd Wong | 2965770 | 1 | 04/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 11/06/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/07/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |