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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Richard Garvin | 1481768 | 2 | 11/16/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Baumann | 1518081 | 1 | 04/21/2023 | Customer Dispute | Pending | $295,000.00 | $0.00 | See FINRA Report |
| Jimmy D Lin | 7563430 | 2 | 10/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jimmy D Lin | 7563430 | 2 | 06/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Riedmiller | 6552569 | 1 | 10/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 04/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 04/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 03/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 02/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 01/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |