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 |
|---|---|---|---|---|---|---|---|---|
| Dick Lam | 300876 | 3 | 11/17/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dick Lam | 300876 | 3 | 04/06/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dick Lam | 300876 | 3 | 03/25/1986 | Customer Dispute | Award / Judgment | $50,000.00 | $56,000.00 | See FINRA Report |