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 |
|---|---|---|---|---|---|---|---|---|
| Eric Serfaty | 4087108 | 4 | 07/17/2006 | Customer Dispute | Settled | $72,412.50 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 06/23/2006 | Employment Separation After Allegations | $0.00 | $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 |
| Juan Carlos Costas | 3174281 | 1 | 09/30/2005 | Customer Dispute | Award / Judgment | $400,000.00 | $195,000.00 | See FINRA Report |
| Guillermo Augusto Pollitzer | 3121699 | 2 | 03/03/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Beatrice Francoise Nunez | 2132616 | 3 | 10/03/2003 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Beatrice Francoise Nunez | 2132616 | 3 | 01/29/2003 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |