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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alton Uptegraff | 1973068 | 3 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eugene Alan Cheng | 807503 | 1 | 11/21/2008 | Customer Dispute | Denied | $6,302.16 | $0.00 | See FINRA Report |
| John Francis Stohlman | 2213177 | 1 | 11/03/2008 | Customer Dispute | Settled | $9,114.00 | $0.00 | See FINRA Report |
| Richard Horace Hoffman | 247863 | 2 | 09/17/2008 | Customer Dispute | Settled | $39,865.60 | $0.00 | See FINRA Report |
| Kirk Driver Miller | 1587745 | 1 | 07/02/2008 | Customer Dispute | Settled | $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 |
| Heidi Sue Kennedy | 4476699 | 1 | 04/19/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Conrad Anthony Tarte | 728899 | 4 | 07/19/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Evan Liaw | 4267270 | 1 | 05/01/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |