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 |
|---|---|---|---|---|---|---|---|---|
| Minerva Rodriguez | 4985099 | 1 | 08/13/2009 | Customer Dispute | Denied | $28,204.30 | $0.00 | See FINRA Report |
| Roberto Ramiro Pena | 2564642 | 3 | 04/08/2009 | Customer Dispute | Closed-No Action | $81,752.70 | $0.00 | See FINRA Report |
| Roberto Ramiro Pena | 2564642 | 3 | 03/20/2009 | Customer Dispute | Closed-No Action | $49,613.10 | $0.00 | See FINRA Report |
| 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| Patricia Patricia Holder | 2894768 | 1 | 10/03/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Anna S Somoza | 1599663 | 2 | 09/09/2008 | Employment Separation After Allegations | $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 |
| Pedro Ignacio Isern | 2427085 | 1 | 06/19/2008 | Regulatory | Final | $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 |