Our Staff has compiled our research into a database of FINRA Broker Disclosures for Moomoo Financial Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Wing Kei Chan | 6616753 | 1 | 05/12/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Aisha V Monroe | 5206418 | 1 | 07/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Arnold Tickel | 1100279 | 1 | 06/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim B Tu | 2047262 | 3 | 09/04/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim B Tu | 2047262 | 3 | 11/09/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim B Tu | 2047262 | 3 | 02/07/1997 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |