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 |
|---|---|---|---|---|---|---|---|---|
| James Nicholas King | 6765119 | 2 | 02/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew John Lichaj | 6693792 | 1 | 02/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Elena Castro-Alessandri | 2765373 | 2 | 01/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Coffee | 7444048 | 1 | 01/29/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Christopher Wiefering | 7166971 | 1 | 01/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marles Dawn Wyman | 2970088 | 1 | 01/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristin Nicole Borges | 5828233 | 1 | 01/22/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Asem Husein Hasan | 7230816 | 2 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Kiley | 4388156 | 5 | 01/21/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marlon Alejandro Tenorio | 6819649 | 1 | 01/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |