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 |
|---|---|---|---|---|---|---|---|---|
| George Carathimas | 2650207 | 2 | 04/18/2011 | Customer Dispute | Settled | $760,000.00 | $0.00 | See FINRA Report |
| James Matthew Martin | 2760601 | 4 | 03/28/2011 | Customer Dispute | Settled | $2,289,000.00 | $0.00 | See FINRA Report |
| Ann Baker Ronn | 1945908 | 1 | 03/07/2011 | Customer Dispute | Settled | $6,870,000.00 | $0.00 | See FINRA Report |
| Christine Noelle Johnston | 2930060 | 3 | 12/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Matthew Martin | 2760601 | 4 | 03/15/2010 | Customer Dispute | Settled | $10,000,000.00 | $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 |
| Thomas Harry Albers | 2325 | 12 | 07/21/2009 | Customer Dispute | Settled | $224,000.00 | $0.00 | See FINRA Report |
| David Bryan Romero | 1744370 | 1 | 06/26/2009 | Customer Dispute | Denied | $285,000.00 | $0.00 | See FINRA Report |
| William Martin Cannon | 3122979 | 4 | 06/25/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |