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 | 04/12/2022 | Customer Dispute | Settled | $62,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 04/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 03/24/2022 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 03/23/2022 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 03/21/2022 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Carlos Alfredo Cortez | 5378014 | 24 | 02/04/2022 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| 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 |