Our Staff has compiled our research into a database of FINRA Broker Disclosures for Arive Capital Markets. 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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Nkrumah Rose | 4225756 | 3 | 11/23/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Ricardo Nkrumah Rose | 4225756 | 3 | 10/07/2022 | Customer Dispute | Pending | $315,000.00 | $0.00 | See FINRA Report |
| Michael Dennis Salerno | 4527806 | 4 | 03/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Dennis Salerno | 4527806 | 4 | 02/12/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Christian Frank Lucchetto | 4648994 | 2 | 01/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Joseph Failla | 2786551 | 4 | 01/04/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Sullivan | 1145000 | 3 | 10/31/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Sullivan | 1145000 | 3 | 11/28/2018 | Customer Dispute | Settled | $231,758.00 | $0.00 | See FINRA Report |
| Roy Joseph Failla | 2786551 | 4 | 05/29/2018 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Michael Dennis Salerno | 4527806 | 4 | 07/07/2017 | Customer Dispute | Denied | $44,191.20 | $0.00 | See FINRA Report |