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 |
|---|---|---|---|---|---|---|---|---|
| Rickey Simpson | 6691010 | 2 | 10/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rickey Simpson | 6691010 | 2 | 10/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew William Palmere | 6794112 | 1 | 10/25/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Arol Hargis | 2988925 | 1 | 10/19/2022 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Erik R Snyder | 4687532 | 1 | 10/19/2022 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Conner James Phillips | 7584204 | 1 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Salal Mustafa Shaikh | 7563749 | 6 | 10/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Richard Mastragostino | 5674876 | 1 | 10/17/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Shawn Richard Strobl | 7471455 | 4 | 10/13/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerard Bessette | 6275024 | 1 | 10/05/2022 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |