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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Willard Rostykus | 5818368 | 1 | 09/28/2023 | Customer Dispute | Pending | $219,128.00 | $0.00 | See FINRA Report |
| Arlo Bryan Sullivan | 2209899 | 3 | 03/21/2018 | Customer Dispute | Settled | $517,000.00 | $0.00 | See FINRA Report |
| Eugene Nathan Gordon | 4744448 | 4 | 10/27/2017 | Customer Dispute | Settled | $1,938,190.00 | $0.00 | See FINRA Report |
| Robert Jay Tesch | 1919954 | 1 | 09/09/2010 | Customer Dispute | Settled | $71,908.00 | $0.00 | See FINRA Report |
| Wesley Ray Brown | 3251052 | 3 | 11/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Swanson | 2528342 | 2 | 09/08/2005 | Customer Dispute | Closed-No Action | $83,749.70 | $0.00 | See FINRA Report |
| Kevin Charles Swanson | 2528342 | 2 | 10/29/2004 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Arlo Bryan Sullivan | 2209899 | 3 | 01/22/2001 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Arlo Bryan Sullivan | 2209899 | 3 | 04/28/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |