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 |
|---|---|---|---|---|---|---|---|---|
| Neelab Hakami | 5607049 | 1 | 03/02/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Eddie Chewkwong Chan | 2290613 | 3 | 11/01/2019 | Customer Dispute | Denied | $19,483.20 | $0.00 | See FINRA Report |
| Brian Joseph Ullmann | 5474380 | 1 | 04/13/2018 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Thane Stuart McCready | 2746385 | 4 | 09/10/2013 | Customer Dispute | Settled | $59,887.00 | $0.00 | See FINRA Report |
| Bart Richard Albrigo | 1791615 | 3 | 01/11/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Gillis Farmer | 2436132 | 1 | 12/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dane Christopher Streeter | 4613533 | 1 | 11/17/2009 | Customer Dispute | Denied | $9,432.24 | $0.00 | See FINRA Report |
| Kent Katsuo Tanaka | 3227376 | 1 | 05/06/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bart Richard Albrigo | 1791615 | 3 | 08/30/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eddie Chewkwong Chan | 2290613 | 3 | 06/16/2003 | Customer Dispute | Settled | $101,918.00 | $0.00 | See FINRA Report |