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 |
|---|---|---|---|---|---|---|---|---|
| Darrien Gaines | 6691077 | 1 | 03/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Johnathan Charles Breen | 6314805 | 1 | 10/13/2018 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Fred Hamsayeh | 2903522 | 1 | 08/07/2018 | Customer Dispute | Denied | $8,500.00 | $0.00 | See FINRA Report |
| Daniel Shapiro | 1651148 | 2 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Shapiro | 1651148 | 2 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Patrick Gibson | 1848513 | 1 | 10/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Scherzer | 1872092 | 1 | 10/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Horace Seely-Brown | 2921928 | 1 | 09/01/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tony Joseph Winkeljohn | 2272603 | 2 | 01/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tuyen Le Pham | 2815844 | 1 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |