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 |
|---|---|---|---|---|---|---|---|---|
| Brian Bum Soo Kim | 2134264 | 10 | 10/07/1998 | Customer Dispute | Closed-No Action | $40,640.50 | $0.00 | See FINRA Report |
| Read Morton Northen | 849473 | 2 | 10/06/1998 | Customer Dispute | Closed-No Action | $800,000.00 | $0.00 | See FINRA Report |
| Daniel Patrick Barker | 2158577 | 3 | 10/06/1998 | Customer Dispute | Closed-No Action | $170,000.00 | $0.00 | See FINRA Report |
| Joseph Salvatore de Sena | 2477861 | 4 | 10/02/1998 | Customer Dispute | Closed-No Action | $15,362.80 | $0.00 | See FINRA Report |
| Steven Thomas King | 2403479 | 2 | 10/02/1998 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Laurence Christian Sorensen Walker | 1001751 | 3 | 10/01/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Mark Eisenmenger | 2507366 | 4 | 10/01/1998 | Customer Dispute | Closed-No Action | $17,555.00 | $0.00 | See FINRA Report |
| Peter Kurt Frederick | 2116821 | 2 | 09/30/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Usman Mushtaq | 2706520 | 3 | 09/28/1998 | Customer Dispute | Closed-No Action | $7,634.32 | $0.00 | See FINRA Report |
| Daniel Marshall Kullman | 2065972 | 1 | 09/23/1998 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |