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 |
|---|---|---|---|---|---|---|---|---|
| Neal Bhatia | 7448410 | 3 | 08/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maribel Guadalupe Kerstein | 5158033 | 1 | 08/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean-Paul G Fauvel | 4952898 | 4 | 08/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alondra Eme | 7315460 | 2 | 08/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen R Geisen | 5455604 | 1 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph McManus | 6907731 | 2 | 08/18/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cyrus Scott Smith | 859546 | 1 | 08/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Lorenzo Escarcega | 6372726 | 1 | 08/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason John Scott | 6552985 | 3 | 07/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Blake Douglas | 6770892 | 7 | 07/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |