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 |
|---|---|---|---|---|---|---|---|---|
| Louie Devega | 5576899 | 1 | 10/08/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Michelle Pasion | 4938709 | 1 | 10/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Electra Eiras Armstead | 7497474 | 1 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Rich | 3012693 | 1 | 09/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Hisako Kuwaye | 3017080 | 3 | 09/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Yamashita | 5058487 | 1 | 09/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Marie West | 4714416 | 2 | 05/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ricardo F Sempertegui | 5691200 | 1 | 12/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Hisako Kuwaye | 3017080 | 3 | 09/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Lane Richards | 4912251 | 1 | 02/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |