Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Scott Smith | 1412333 | 12 | 02/01/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew John Boehm | 4418029 | 1 | 01/31/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Mark Alan Mappa | 1874503 | 3 | 01/30/2023 | Customer Dispute | Pending | $100,001.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Morris | 2478499 | 4 | 01/27/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Jason Lee Layland | 4799825 | 2 | 01/25/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Frank I-Min Wu | 1613789 | 2 | 01/25/2023 | Customer Dispute | Pending | $625,593.00 | $0.00 | See FINRA Report |
| Carol Ann Lemoult | 331681 | 1 | 01/25/2023 | Customer Dispute | Pending | $625,593.00 | $0.00 | See FINRA Report |
| Chay Lapin | 6275140 | 3 | 01/25/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alyssa Thornton | 6895519 | 2 | 01/24/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Randolph Miles Peters | 1472005 | 1 | 01/24/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |