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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Alfredo Cortez | 5378014 | 24 | 09/06/2022 | Customer Dispute | Pending | $11,500.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 08/23/2022 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/29/2022 | Customer Dispute | Pending | $54,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/29/2022 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/20/2022 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/13/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/01/2022 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 05/18/2022 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 05/11/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 04/18/2022 | Customer Dispute | Pending | $175,000.00 | $0.00 | See FINRA Report |