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 James Barranco | 4825738 | 3 | 10/06/2021 | Customer Dispute | Settled | $3,215,650.00 | $0.00 | See FINRA Report |
| Michael James Barranco | 4825738 | 3 | 08/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael James Barranco | 4825738 | 3 | 11/17/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Lee Sloan | 1496530 | 35 | 08/17/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 07/23/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 02/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 02/13/2012 | Customer Dispute | Settled | $335,750.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 12/28/2011 | Customer Dispute | Settled | $86,867.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 05/06/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Sloan | 1496530 | 35 | 12/27/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |