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 |
|---|---|---|---|---|---|---|---|---|
| Matthew S Shapiro | 5561680 | 1 | 03/16/2022 | Customer Dispute | Settled | $422,000.00 | $0.00 | See FINRA Report |
| Patrick Michael van Roten | 2892385 | 2 | 01/24/2011 | Customer Dispute | Settled | $311,000.00 | $0.00 | See FINRA Report |
| Patrick Michael van Roten | 2892385 | 2 | 01/28/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |