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 |
|---|---|---|---|---|---|---|---|---|
| Farzad Raufi | 6943330 | 1 | 07/02/2024 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Robert Warren Brooks | 4124275 | 2 | 08/22/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Blerina Mucaj | 6999015 | 1 | 05/12/2022 | Customer Dispute | Closed-No Action | $16,123.00 | $0.00 | See FINRA Report |
| Adrian Deluren Garcia | 6107061 | 1 | 01/26/2022 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Jordan Clifford Bailey | 6346991 | 1 | 11/09/2021 | Customer Dispute | Closed-No Action | $26,660.00 | $0.00 | See FINRA Report |
| Anthony Walia | 2951490 | 2 | 09/08/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Adam Alexander Baldridge | 6748815 | 1 | 08/17/2021 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Justin Burthay | 5625112 | 2 | 03/13/2019 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Rebecca Anne Dauterive | 6908446 | 1 | 10/19/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Nelson Brodie | 1492095 | 2 | 02/16/2018 | Customer Dispute | Closed-No Action | $285,600.00 | $0.00 | See FINRA Report |