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.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ali F Chehab | 7625979 | 2 | 06/06/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Mildrum | 6606286 | 1 | 05/22/2024 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Trent Robert White | 5592137 | 1 | 05/19/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Russell Hawes | 4190938 | 2 | 05/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 05/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Abelardo J Riera | 2514172 | 1 | 05/10/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Gerald Roehrig | 2826376 | 5 | 05/09/2024 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Philip Anthony Riposo | 400056 | 16 | 05/07/2024 | Customer Dispute | Closed-No Action | $700,000.00 | $0.00 | See FINRA Report |
| David Calliott | 5820086 | 1 | 04/24/2024 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| David R Stephens | 4631818 | 1 | 04/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |