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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Gregory Hobbs | 5092184 | 2 | 06/06/2024 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |
| Frank Samuel Walter | 5685573 | 1 | 06/06/2024 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Robert Dewell Anderson | 5340479 | 1 | 06/06/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Damian Agustin Pereira-Nunez | 5211567 | 1 | 06/06/2024 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Richard Joseph Testa | 3152207 | 2 | 06/06/2024 | Customer Dispute | Denied | $604,000.00 | $0.00 | See FINRA Report |
| William Duffy | 6726333 | 5 | 06/06/2024 | Customer Dispute | Pending | $135,000.00 | $0.00 | See FINRA Report |
| Paul Thomas Pavelski | 1843721 | 4 | 06/06/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tracy Marie Longstreet | 1768525 | 2 | 06/06/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ali F Chehab | 7625979 | 2 | 06/06/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Darius Raehpour | 4508598 | 4 | 06/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |