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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Stephen Mahoney | 1482774 | 2 | 03/04/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Ilia Michael Dalea | 2824306 | 1 | 07/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Vincent Krug | 7149445 | 2 | 12/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Stephen Mahoney | 1482774 | 2 | 01/26/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Robert Darien Tapia | 4762978 | 1 | 12/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael B Napoli | 3202724 | 1 | 10/07/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald William Faul | 1233953 | 1 | 04/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Ishibashi | 1772041 | 1 | 05/14/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stuart Bradley Arakelian | 1430141 | 2 | 05/02/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Warner | 2784883 | 1 | 07/29/2013 | Customer Dispute | Settled | $790,000.00 | $0.00 | See FINRA Report |