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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Leo Li-Yuan Chien | 4169619 | 6 | 03/12/2024 | Customer Dispute | Pending | $1,054,760.00 | $0.00 | See FINRA Report |
| Dean Michael Mansavage | 2181376 | 2 | 03/12/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Charles Kenneth Wareham | 2193537 | 3 | 03/12/2024 | Customer Dispute | Pending | $5,000.01 | $0.00 | See FINRA Report |
| Patrick George Heller | 2123083 | 1 | 03/12/2024 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 03/12/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Anson Kau Cheong | 7118738 | 1 | 03/12/2024 | Customer Dispute | Pending | $1,054,760.00 | $0.00 | See FINRA Report |
| Matthew Andrew Norton | 5226715 | 1 | 03/12/2024 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Keith Robert Wells | 6467298 | 1 | 03/12/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Marc Charles Koch | 4978078 | 1 | 03/11/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Reid Horowitz | 2681741 | 3 | 03/11/2024 | Customer Dispute | Settled | $2,039,030.00 | $0.00 | See FINRA Report |