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 |
|---|---|---|---|---|---|---|---|---|
| Karen Santini Clemens | 1921035 | 1 | 03/11/2024 | Customer Dispute | Denied | $7,638.20 | $0.00 | See FINRA Report |
| Steven Glenn Crawford | 1147573 | 5 | 03/11/2024 | Customer Dispute | Pending | $67,740.00 | $0.00 | See FINRA Report |
| Austin Arata | 6448739 | 1 | 03/11/2024 | Customer Dispute | Pending | $340,000.00 | $0.00 | See FINRA Report |
| Vincenzo Azzinnari | 4504578 | 1 | 03/11/2024 | Customer Dispute | Settled | $6,042.57 | $0.00 | See FINRA Report |
| Richard Wiley Waddell | 1904270 | 1 | 03/11/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan L Katz | 834107 | 1 | 03/11/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gabriel Gerard Tessar | 1491923 | 2 | 03/11/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Connor Seedall | 6418732 | 1 | 03/11/2024 | Customer Dispute | Pending | $329,000.00 | $0.00 | See FINRA Report |
| Donald D Dalton | 3127243 | 2 | 03/11/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald David Albers | 2401383 | 2 | 03/11/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |