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 |
|---|---|---|---|---|---|---|---|---|
| David Foote Gwynn | 232599 | 1 | 02/11/2020 | Customer Dispute | Withdrawn | $7,193.00 | $0.00 | See FINRA Report |
| James Penn van Putten Vink | 3107572 | 2 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 10/03/2019 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Soonhee Kim Cho | 2962660 | 3 | 05/24/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 01/02/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Soonhee Kim Cho | 2962660 | 3 | 11/06/2017 | Customer Dispute | Denied | $193,000.00 | $0.00 | See FINRA Report |
| Timothy William Sackett | 2010125 | 5 | 08/03/2017 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Billy Wayne Shank | 4829362 | 1 | 02/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Grace Musuneggi | 1020162 | 1 | 01/27/2016 | Customer Dispute | Settled | $5,695.54 | $0.00 | See FINRA Report |