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 |
|---|---|---|---|---|---|---|---|---|
| Shailesh Narottam Negandhi | 4897340 | 3 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Patrick Rice | 859360 | 1 | 06/21/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Edward Thomas Munoz | 5377729 | 3 | 04/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Munoz | 5377729 | 3 | 01/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shailesh Narottam Negandhi | 4897340 | 3 | 06/25/2020 | Customer Dispute | Settled | $656,000.00 | $0.00 | See FINRA Report |
| Mitchell Lewis Bloom | 1682361 | 3 | 11/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Erwin Brokop | 4743232 | 1 | 04/08/2019 | Customer Dispute | Final | $18,000.00 | $0.00 | See FINRA Report |
| Mitchell Lewis Bloom | 1682361 | 3 | 02/06/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Hugh Bindelglass | 3201389 | 3 | 01/26/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Hugh Bindelglass | 3201389 | 3 | 12/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |