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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Ramiro Pena | 2564642 | 3 | 03/20/2009 | Customer Dispute | Closed-No Action | $77,837.60 | $0.00 | See FINRA Report |
| Moises Nudel | 4439353 | 1 | 03/05/2009 | Customer Dispute | Settled | $465,000.00 | $0.00 | See FINRA Report |
| Patricia Patricia Holder | 2894768 | 1 | 10/03/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Carlos Francisco van Maanen | 4268379 | 1 | 07/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Luis Antonio Ehlers | 1744302 | 2 | 05/08/2007 | Customer Dispute | Denied | $4,017,330.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 07/17/2006 | Customer Dispute | Settled | $72,412.50 | $0.00 | See FINRA Report |
| Zoraida Caridad Diaz | 2416544 | 1 | 06/08/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 04/24/2006 | Customer Dispute | Settled | $189,408.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 02/14/2006 | Customer Dispute | Settled | $439,069.00 | $0.00 | See FINRA Report |
| Guillermo Augusto Pollitzer | 3121699 | 2 | 11/16/2005 | Customer Dispute | Settled | $48,600.00 | $0.00 | See FINRA Report |