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 |
|---|---|---|---|---|---|---|---|---|
| Timothy William Sackett | 2010125 | 5 | 08/03/2017 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Steven Lee Barnes | 1988057 | 1 | 06/08/2015 | Customer Dispute | Closed-No Action | $16,555.00 | $0.00 | See FINRA Report |
| Eric Keith Schrott | 4443832 | 2 | 02/26/2013 | Customer Dispute | Closed-No Action | $214,000.00 | $0.00 | See FINRA Report |
| Timothy Joseph Glennon | 3102179 | 1 | 06/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 02/25/2008 | Customer Dispute | Closed-No Action | $35,797.00 | $0.00 | See FINRA Report |
| Leonardo Dasilva Gelain | 4209989 | 1 | 05/08/2007 | Customer Dispute | Closed-No Action | $5,675.00 | $0.00 | See FINRA Report |
| Conrad Anthony Tarte | 728899 | 4 | 03/24/2006 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 07/02/2002 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 04/19/2001 | Customer Dispute | Closed-No Action | $28,254.20 | $0.00 | See FINRA Report |