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 |
|---|---|---|---|---|---|---|---|---|
| Charles Edward Howell | 4757297 | 4 | 11/29/2019 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Michael Barrows | 2933260 | 8 | 08/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Robert Romero | 2468255 | 3 | 06/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Moss Madden | 2883455 | 2 | 06/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Robert Romero | 2468255 | 3 | 08/06/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen E Trask | 1837307 | 10 | 03/05/2013 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kalomira K Zangoulos | 4451124 | 8 | 02/20/2009 | Customer Dispute | Denied | $7,037.70 | $0.00 | See FINRA Report |
| Michael Barrows | 2933260 | 8 | 12/05/2008 | Customer Dispute | Denied | $11,102.20 | $0.00 | See FINRA Report |
| Kalomira K Zangoulos | 4451124 | 8 | 10/17/2008 | Customer Dispute | Denied | $35,374.00 | $0.00 | See FINRA Report |
| Brian Joseph Mock | 4223858 | 5 | 07/15/2008 | Customer Dispute | Denied | $8,200.00 | $0.00 | See FINRA Report |