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 |
|---|---|---|---|---|---|---|---|---|
| Morgan Landes Carter | 6270471 | 3 | 09/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hrini Karavasilis Sandoval | 5121585 | 2 | 09/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Hipolito Barbosa | 5229535 | 2 | 09/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Robert Lyle | 6612935 | 1 | 09/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anessa Apodaca | 7044694 | 1 | 09/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marissa Ortega | 7116090 | 6 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Seth Allyn Balduc | 7044896 | 1 | 08/24/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Giacomo Parente | 4924478 | 2 | 08/22/2018 | Customer Dispute | Denied | $15,287.00 | $0.00 | See FINRA Report |
| James Thomas Branca | 7448439 | 2 | 08/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Allen Pugh | 5803038 | 1 | 08/13/2018 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |