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 |
|---|---|---|---|---|---|---|---|---|
| Donald Andrew Cross | 5746624 | 2 | 10/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Nicholas King | 6765119 | 2 | 10/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latishia Anne Mount | 7598030 | 3 | 10/07/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dominica McCann | 4669924 | 1 | 10/06/2015 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Joseph Peter Ninivaggi | 6158894 | 2 | 10/06/2015 | Customer Dispute | Settled | $132,686.00 | $0.00 | See FINRA Report |
| Shawn Michael Lilley | 5415730 | 1 | 10/02/2015 | Customer Dispute | Denied | $12,874.30 | $0.00 | See FINRA Report |
| Christopher Raymond Mata | 5437681 | 1 | 10/01/2015 | Customer Dispute | Denied | $10,093.00 | $0.00 | See FINRA Report |
| Mohamed Yazen Tabbaa | 6959772 | 2 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alexander Espinosa | 5928619 | 1 | 09/29/2015 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Alex Brandon Farrar | 6641970 | 3 | 09/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |