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 |
|---|---|---|---|---|---|---|---|---|
| Jon Christopher Vinge | 4445831 | 3 | 03/01/2023 | Customer Dispute | Pending | $701,211.00 | $0.00 | See FINRA Report |
| Pamela Sue Espinosa | 5865661 | 2 | 01/25/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| August David Consiglio | 1516553 | 1 | 01/03/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Stafford Morrison | 1254375 | 1 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jon Christopher Vinge | 4445831 | 3 | 09/27/2022 | Customer Dispute | Settled | $183,000.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 08/01/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jon Christopher Vinge | 4445831 | 3 | 06/28/2022 | Customer Dispute | Withdrawn | $373,000.00 | $0.00 | See FINRA Report |
| Roberto Epigmenio Guzman | 4790113 | 1 | 06/16/2022 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Marc Vincent Fragola | 1751871 | 1 | 06/10/2022 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Frank Phillip Hill | 2208115 | 1 | 05/31/2022 | Customer Dispute | Denied | $325,000.00 | $0.00 | See FINRA Report |