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 |
|---|---|---|---|---|---|---|---|---|
| Brian Chi Wong | 3121601 | 1 | 06/20/2011 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Kenneth Jurgen Weise | 4429434 | 1 | 06/25/2010 | Customer Dispute | Denied | $72,041.60 | $0.00 | See FINRA Report |
| Sean Khaligh | 4833661 | 1 | 06/18/2009 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Nicolas Paul Tabellion | 4718102 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Salvador Trinidad Martinez | 2011576 | 1 | 02/17/2009 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Chris N Spencer | 4723641 | 1 | 04/10/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Mark Christopher Shoemaker | 2387450 | 1 | 09/24/2007 | Customer Dispute | Denied | $925,000.00 | $0.00 | See FINRA Report |
| Michael Robert Zent | 2134123 | 2 | 08/01/2006 | Customer Dispute | Denied | $10,536.00 | $0.00 | See FINRA Report |
| Derek William Cockrell | 2844773 | 1 | 04/12/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Richard Wheeler | 1461387 | 2 | 03/16/2005 | Customer Dispute | Denied | $17,102.00 | $0.00 | See FINRA Report |