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 |
|---|---|---|---|---|---|---|---|---|
| Michael Lee Romero | 4411973 | 9 | 12/11/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 06/04/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 06/04/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 06/04/2010 | Customer Dispute | Closed-No Action | $355,000.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 06/04/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 06/01/2010 | Customer Dispute | Denied | $900,000.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 03/15/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 03/12/2010 | Customer Dispute | Settled | $358,238.00 | $0.00 | See FINRA Report |
| Michael Lee Romero | 4411973 | 9 | 10/26/2009 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |