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 |
|---|---|---|---|---|---|---|---|---|
| John Robert Murray | 2441276 | 1 | 07/01/2024 | Customer Dispute | Denied | $200,000.00 | $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 |
| Soonhee Kim Cho | 2962660 | 3 | 11/06/2017 | Customer Dispute | Denied | $193,000.00 | $0.00 | See FINRA Report |
| Eric Keith Schrott | 4443832 | 2 | 01/16/2015 | Customer Dispute | Denied | $202,852.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 11/22/2013 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Georg Grabner | 1661975 | 1 | 12/28/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raleigh Edward Kraft | 1036719 | 5 | 06/25/2012 | Customer Dispute | Denied | $24,577.00 | $0.00 | See FINRA Report |
| Richard Ganz | 502532 | 1 | 11/15/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 03/01/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |