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 |
|---|---|---|---|---|---|---|---|---|
| Francisco Alberto Escalera | 6242161 | 1 | 08/01/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Rome | 5951311 | 1 | 08/01/2024 | Customer Dispute | Pending | $17,332.20 | $0.00 | See FINRA Report |
| Gregg Michael Gelber | 4332564 | 1 | 08/01/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Patrick Roland Hobert | 805680 | 18 | 07/31/2024 | Customer Dispute | Pending | $112,000.00 | $0.00 | See FINRA Report |
| Gaylord Wesley Rohloff | 1542216 | 10 | 07/31/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Seth Philip Gansman | 6003662 | 1 | 07/31/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Jeffrey Kercher Gantz | 2318683 | 1 | 07/31/2024 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Michael Albert Dipietro | 2811047 | 4 | 07/31/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Hiroshi Mizutani | 3259903 | 1 | 07/30/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Conan Spellacy | 2275119 | 10 | 07/30/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |