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 A Ditkowsky | 4897179 | 1 | 03/25/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Filip Murphy | 2582762 | 3 | 03/25/2024 | Customer Dispute | Pending | $160,000.00 | $0.00 | See FINRA Report |
| Carlos Antonio Getino | 2156322 | 3 | 03/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Noard | 1983392 | 9 | 03/25/2024 | Customer Dispute | Pending | $175,000.00 | $0.00 | See FINRA Report |
| Richard Howard Case | 1235220 | 1 | 03/25/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Steven Lamar Nielsen | 4184826 | 11 | 03/25/2024 | Customer Dispute | Pending | $46,000.00 | $0.00 | See FINRA Report |
| Anna Marie Ocampo Lovell | 5498414 | 1 | 03/25/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Ley | 1127048 | 3 | 03/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Wayne Napier | 4555202 | 2 | 03/25/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Timothy Michael Fraser | 4868026 | 1 | 03/25/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |