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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Pettola | 1188615 | 1 | 07/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tallie O'Vivian Young | 2817233 | 2 | 07/27/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Paul Tunink | 1518960 | 1 | 07/01/2011 | Customer Dispute | Denied | $66,500.00 | $0.00 | See FINRA Report |
| Phuoc Huu Dang | 1044542 | 2 | 09/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tallie O'Vivian Young | 2817233 | 2 | 07/27/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Bryan Romero | 1744370 | 1 | 06/26/2009 | Customer Dispute | Denied | $285,000.00 | $0.00 | See FINRA Report |
| Neil Clark Freeman | 1283664 | 5 | 03/12/2009 | Customer Dispute | Denied | $23,601.00 | $0.00 | See FINRA Report |
| David Randall Guttery | 2229460 | 1 | 01/26/2009 | Customer Dispute | Denied | $13,851.00 | $0.00 | See FINRA Report |
| Christopher Bordner Warren | 1946717 | 1 | 01/22/2009 | Customer Dispute | Denied | $141,000.00 | $0.00 | See FINRA Report |
| Elizabeth Michelle Walker-Sadler | 4773120 | 2 | 12/11/2008 | Customer Dispute | Denied | $35,185.20 | $0.00 | See FINRA Report |