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 |
|---|---|---|---|---|---|---|---|---|
| Bryce Austin Hamilton | 4296113 | 3 | 07/30/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Otto Ramon Bohon | 5677597 | 11 | 07/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Patricia Alison Fleming | 1960175 | 1 | 07/30/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Deborah L Bauer | 1039606 | 1 | 07/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins | 2562513 | 3 | 07/30/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Mark Allen Upchurch | 2937074 | 12 | 07/30/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Herring Steele | 6131730 | 1 | 07/30/2024 | Customer Dispute | Pending | $175,000.00 | $0.00 | See FINRA Report |
| Andrew William Shaw | 6010358 | 1 | 07/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Victor Paul Raigoza | 2454098 | 2 | 07/30/2024 | Customer Dispute | Pending | $45,000.00 | $0.00 | See FINRA Report |
| Paul John Di Pirro | 4950403 | 1 | 07/29/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |