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 |
|---|---|---|---|---|---|---|---|---|
| Richard S Siminou | 5605796 | 5 | 08/31/2023 | Customer Dispute | Pending | $9,380.04 | $0.00 | See FINRA Report |
| Seth Waltman | 4681412 | 2 | 07/14/2022 | Customer Dispute | Pending | $318,168.00 | $0.00 | See FINRA Report |