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 |
|---|---|---|---|---|---|---|---|---|
| Ray C Ping | 6035986 | 1 | 03/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris David Abeyta | 6403098 | 25 | 03/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Guy Hurckes | 2612833 | 1 | 03/25/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Philip Anthony Riposo | 400056 | 16 | 03/25/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Adam Tekel | 6112888 | 1 | 03/25/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Carl Gutwein | 2904262 | 1 | 03/25/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Wendell Holmes Trapp | 6177720 | 12 | 03/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond E Hart | 6333498 | 2 | 03/25/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Scott Douglas Phillips | 1311907 | 6 | 03/25/2024 | Customer Dispute | Pending | $120,300.00 | $0.00 | See FINRA Report |
| Anne S Kies | 4989806 | 1 | 03/25/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |