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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 91-100 out of 123,432 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Lisa C Esteves-Dixon2274989208/19/2024Customer DisputePending$10,667.00$0.00See FINRA Report
Gihan Anil Fernando44696696208/19/2024Customer DisputePending$591,037.00$0.00See FINRA Report
Mark Robert Brosa5481188308/19/2024Customer DisputeSettled$0.00$0.00See FINRA Report
James Taylor Davis6646090708/19/2024Customer DisputePending$14,500.00$0.00See FINRA Report
Timothy Charles Hines2341837208/19/2024Customer DisputePending$0.00$0.00See FINRA Report
David Lee Rhodes2620006908/19/2024Customer DisputePending$0.00$0.00See FINRA Report
Rawney Charles McVaney1991351208/19/2024Customer DisputePending$1,000,000.00$0.00See FINRA Report
Brian W Fulton4209607108/16/2024Customer DisputeDenied$5,000.00$0.00See FINRA Report
Robert Anders Herje1496687308/16/2024Customer DisputePending$5,000.00$0.00See FINRA Report
Michael Vatter5199140308/16/2024Customer DisputePending$5,000.00$0.00See FINRA Report

123,432 Results

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