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 |
|---|---|---|---|---|---|---|---|---|
| Erica Nicole Nathan | 6731156 | 3 | 02/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristen Hyre Kauffman | 6965950 | 1 | 02/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Robert Swanson | 6270397 | 1 | 02/07/2018 | Customer Dispute | Settled | $19,948.60 | $0.00 | See FINRA Report |
| Ronald Litteral | 5762717 | 2 | 02/01/2018 | Customer Dispute | Settled | $99,206.40 | $0.00 | See FINRA Report |
| Axel Montiel Medina | 7454868 | 5 | 01/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victoria D Marshall | 6435476 | 3 | 01/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Waijun Young | 7222387 | 1 | 01/19/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Wu | 4410019 | 1 | 01/12/2018 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Fernando Set Degracia | 6233402 | 5 | 01/12/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Marie Vera | 6977231 | 5 | 01/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |