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 |
|---|---|---|---|---|---|---|---|---|
| Michael Raymond Frager | 1230622 | 11 | 01/08/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 11/04/2022 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Duane Kevin Shumaker | 2744735 | 1 | 11/15/2018 | Customer Dispute | Settled | $30,777.00 | $0.00 | See FINRA Report |
| Richard Anthony Riva | 2157887 | 1 | 01/26/2017 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Hermes | 2656830 | 2 | 07/12/2013 | Customer Dispute | Denied | $55,343.00 | $0.00 | See FINRA Report |
| David Matthew Mowad | 2546079 | 1 | 01/09/2012 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 12/21/2001 | Customer Dispute | Settled | $4,200.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 04/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 05/01/2000 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 05/20/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |