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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Polanco | 6146571 | 2 | 02/25/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emilio Enrique Rivera | 4258690 | 2 | 12/28/2019 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Sally Jane Boyle | 1026790 | 1 | 11/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Manuel Herrera | 4158466 | 7 | 05/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jessica Lynn Nieminski | 5167744 | 1 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Manuel Herrera | 4158466 | 7 | 10/24/2013 | Customer Dispute | Settled | $39,229.10 | $0.00 | See FINRA Report |
| Christian Manuel Herrera | 4158466 | 7 | 02/17/2012 | Customer Dispute | Settled | $5,108.75 | $0.00 | See FINRA Report |
| Christian Manuel Herrera | 4158466 | 7 | 11/16/2011 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Chad Terry Joshpe | 4914250 | 1 | 10/15/2010 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Stephan Todd Day | 2694751 | 1 | 03/05/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |