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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Ann Liechty | 3215809 | 2 | 03/13/2024 | Customer Dispute | Pending | $63,000.00 | $0.00 | See FINRA Report |
| Bradley Frank Lakner | 4167521 | 3 | 03/13/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Richard Salinas | 6041179 | 1 | 03/13/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Katherine Charlene Carter | 2224156 | 1 | 03/13/2024 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Alfred Weston Barter | 2449301 | 1 | 03/13/2024 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Alex Sanchez | 5624288 | 2 | 03/13/2024 | Customer Dispute | Denied | $13,821.00 | $0.00 | See FINRA Report |
| Richard Michael Wesselt | 2195569 | 41 | 03/13/2024 | Customer Dispute | Pending | $3,750,000.00 | $0.00 | See FINRA Report |
| Douglas Koch Reller | 5762143 | 1 | 03/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 03/12/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Louis Nieto | 1993777 | 1 | 03/12/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |