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 | 12/27/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 12/17/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 12/02/2021 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 09/10/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 07/01/2021 | Customer Dispute | Settled | $213,922.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 06/24/2021 | Customer Dispute | Settled | $281,275.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 05/17/2021 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 04/06/2021 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |