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FINRA Broker Disclosures

Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.

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Displaying 10 out of 8,192 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Mark Stewart2074085111/03/2023Customer DisputeAward / Judgment$0.00$11,055.70See FINRA Report
Eric Koonwai Ng2780478506/02/2023Customer DisputeAward / Judgment$21,500.00$0.00See FINRA Report
David Hilton Page2874899905/15/2023Customer DisputeAward / Judgment$135,000.00$0.00See FINRA Report
Alex Shtaynberger2077298204/28/2023Customer DisputeAward / Judgment$0.00$57,375.40See FINRA Report
Larry Richard Law1273118404/14/2023Customer DisputeAward / Judgment$0.00$1,301,030.00See FINRA Report
John William Wolf18460801004/12/2023Customer DisputeAward / Judgment$750,000.00$0.00See FINRA Report
Dennis Phillip Ayre53651761604/07/2023Customer DisputeAward / Judgment$300,000.00$322,648.00See FINRA Report
Craig Robert Zimmerman7037239104/06/2023Customer DisputeAward / Judgment$700,000.00$200,000.00See FINRA Report
Matthew Jason Patrick4715467304/06/2023Customer DisputeAward / Judgment$700,000.00$200,000.00See FINRA Report
Carol Dahl1851799103/30/2023Customer DisputeAward / Judgment$20,000.00$20,000.00See FINRA Report

8,192 Results

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