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 |
|---|---|---|---|---|---|---|---|---|
| Dustin P Cali | 5721168 | 3 | 07/08/2012 | Customer Dispute | Denied | $22,600.40 | $0.00 | See FINRA Report |
| Marlen Lopez | 4513127 | 1 | 06/15/2012 | Customer Dispute | Settled | $24,228.10 | $0.00 | See FINRA Report |
| Valerie J Morgan | 1714612 | 1 | 04/30/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Lorena Guerrero | 4132388 | 1 | 03/05/2012 | Customer Dispute | Settled | $24,228.10 | $0.00 | See FINRA Report |
| John Claybourn Frakes | 2045294 | 3 | 01/30/2012 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Leblanc | 2607117 | 6 | 11/30/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terry Jerome Heinrichs | 1980656 | 2 | 11/28/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa Yue | 5207324 | 1 | 07/11/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| John David Monroe | 2145151 | 2 | 03/22/2011 | Customer Dispute | Withdrawn | $75,000.00 | $0.00 | See FINRA Report |
| Brooke Taylor Weaver | 4214107 | 1 | 01/04/2010 | Customer Dispute | Settled | $77,685.10 | $0.00 | See FINRA Report |