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 |
|---|---|---|---|---|---|---|---|---|
| Cain Benjamin Kobert | 2673742 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cain Benjamin Kobert | 2673742 | 2 | 03/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas A Cavaliere | 4435562 | 1 | 01/25/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Masalehdani | 6281752 | 1 | 12/19/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kira Lyn Aduddell | 2218406 | 1 | 05/09/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dario Kerkez | 5283327 | 1 | 12/01/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Mitchell Hook | 6134240 | 1 | 11/30/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Yi | 5672132 | 1 | 07/02/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ian Stuart Baker | 4018036 | 1 | 06/16/2020 | Customer Dispute | Settled | $10,966.90 | $0.00 | See FINRA Report |
| Ernest Paul Carrera | 2398888 | 2 | 05/23/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |