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 |
|---|---|---|---|---|---|---|---|---|
| Cara Michelle Miller | 4521819 | 6 | 03/28/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Hayward Lord | 1352023 | 2 | 03/28/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| David Brook Fields | 1953457 | 1 | 03/28/2024 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Craig Eric Isaacson | 2183909 | 1 | 03/27/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edwin James Murphy | 2658678 | 1 | 03/27/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Lori Jean Barry | 5771498 | 1 | 03/27/2024 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Samuel Bruce Phillips | 2239471 | 2 | 03/27/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Jose Manuel Candelario Padilla | 4847560 | 54 | 03/27/2024 | Customer Dispute | Pending | $664,066.00 | $0.00 | See FINRA Report |
| Ran Regev | 5469190 | 3 | 03/27/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| William Dennis Esposito | 1132073 | 1 | 03/27/2024 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |