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 |
---|---|---|---|---|---|---|---|---|
Anna Marie Ocampo Lovell | 5498414 | 1 | 03/25/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
Tony Alan Tolene | 5730068 | 5 | 11/10/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
Bradford Steven Jones | 6293198 | 1 | 09/05/2023 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
Michael Joseph Smith | 4455394 | 1 | 04/11/2023 | Customer Dispute | Pending | $53,000.00 | $0.00 | See FINRA Report |
Sterling Carmen Hirsch | 4867105 | 4 | 03/29/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Joseph A Medina | 2793924 | 3 | 10/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Joseph A Medina | 2793924 | 3 | 05/01/2020 | Customer Dispute | Settled | $53,060.90 | $0.00 | See FINRA Report |
Sterling Carmen Hirsch | 4867105 | 4 | 05/21/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
Thomas A Vigil | 3269058 | 6 | 05/03/2017 | Customer Dispute | Denied | $7,539.53 | $0.00 | See FINRA Report |
John Martin Collins | 841617 | 3 | 11/23/2015 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |