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 |
|---|---|---|---|---|---|---|---|---|
| August Anthony Ferretti | 6781808 | 2 | 11/01/2023 | Civil | Pending | $0.00 | $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 |
| Michelle Renee Smith | 6748799 | 1 | 08/21/2023 | Customer Dispute | Denied | $10,837.00 | $0.00 | See FINRA Report |
| Storm Davis Rummel | 6777604 | 3 | 08/16/2023 | Customer Dispute | Denied | $65,543.90 | $0.00 | See FINRA Report |
| Margaret Stiefel Mazzella | 6929580 | 1 | 06/05/2023 | Customer Dispute | Denied | $15,210.00 | $0.00 | See FINRA Report |
| Shane Michael Levey | 4957431 | 1 | 05/31/2023 | Customer Dispute | Denied | $12,420.00 | $0.00 | See FINRA Report |
| Adam W Claussen | 5977153 | 2 | 03/07/2023 | Customer Dispute | Denied | $16,200.00 | $0.00 | See FINRA Report |
| Sarah Leigh Miles Rodriguez | 5248713 | 1 | 03/03/2023 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Adam W Claussen | 5977153 | 2 | 02/23/2023 | Customer Dispute | Settled | $13,078.50 | $0.00 | See FINRA Report |