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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Lynn Immoos-Hernandez | 6935416 | 1 | 06/21/2024 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Michelle Martin Neuhalfen | 7206531 | 2 | 06/18/2024 | Customer Dispute | Denied | $782,583.00 | $0.00 | See FINRA Report |
| Rita Raeanne Pollard | 7575328 | 1 | 06/03/2024 | Customer Dispute | Settled | $6,177.42 | $0.00 | See FINRA Report |
| Jennifer Lynn Greenleaf | 7073231 | 2 | 04/26/2024 | Customer Dispute | Denied | $15,096.80 | $0.00 | See FINRA Report |
| Royah K Sultan | 7207741 | 1 | 02/09/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David William Taylor | 7100199 | 1 | 01/01/2024 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Greenleaf | 7073231 | 2 | 11/15/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael Scott Nixon | 5673343 | 3 | 11/15/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Mark Timothy Mallia | 6189608 | 1 | 10/31/2023 | Customer Dispute | Denied | $10,601.00 | $0.00 | See FINRA Report |
| Gunnar Swain Gavin | 5965784 | 1 | 09/18/2023 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |