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 |
|---|---|---|---|---|---|---|---|---|
| Joel Robert Drake | 2178512 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christine Marie Soscia | 2570450 | 2 | 03/18/2016 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Jordan P Rider | 5292169 | 3 | 03/14/2016 | Customer Dispute | Settled | $179,500.00 | $0.00 | See FINRA Report |
| Tony Lee Brewer | 5501075 | 1 | 06/17/2015 | Customer Dispute | Settled | $17,550.20 | $0.00 | See FINRA Report |
| Mark Kenneth Starr | 6125237 | 3 | 05/04/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jordan P Rider | 5292169 | 3 | 04/16/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christine Marie Soscia | 2570450 | 2 | 02/24/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hyongsuk Choe Pau | 1132818 | 3 | 11/18/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephanie Marie Gantt | 3142811 | 2 | 05/10/2013 | Customer Dispute | Denied | $10,038.00 | $0.00 | See FINRA Report |
| Lan Ngoc Tran | 2585249 | 1 | 11/14/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |