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 |
---|---|---|---|---|---|---|---|---|
Lisa C Esteves-Dixon | 2274989 | 2 | 08/19/2024 | Customer Dispute | Pending | $10,667.00 | $0.00 | See FINRA Report |
Gihan Anil Fernando | 4469669 | 62 | 08/19/2024 | Customer Dispute | Pending | $591,037.00 | $0.00 | See FINRA Report |
Mark Robert Brosa | 5481188 | 3 | 08/19/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
James Taylor Davis | 6646090 | 7 | 08/19/2024 | Customer Dispute | Pending | $14,500.00 | $0.00 | See FINRA Report |
Timothy Charles Hines | 2341837 | 2 | 08/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
David Lee Rhodes | 2620006 | 9 | 08/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
Rawney Charles McVaney | 1991351 | 2 | 08/19/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
Brian W Fulton | 4209607 | 1 | 08/16/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Robert Anders Herje | 1496687 | 3 | 08/16/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
Michael Vatter | 5199140 | 3 | 08/16/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |