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 |
|---|---|---|---|---|---|---|---|---|
| Bernard Kai Yip | 2391643 | 1 | 05/31/2024 | Customer Dispute | Denied | $108,712.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 05/31/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Thaddeus Walesa | 1061209 | 15 | 05/31/2024 | Customer Dispute | Pending | $30,085,200.00 | $0.00 | See FINRA Report |
| Dean Robert Nowak | 1091819 | 9 | 05/31/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Louis Anthony La Selva | 3219829 | 1 | 05/30/2024 | Customer Dispute | Denied | $22,221.30 | $0.00 | See FINRA Report |
| Dale Lawrence Cebert | 2986573 | 3 | 05/30/2024 | Customer Dispute | Settled | $6,547.40 | $0.00 | See FINRA Report |
| Dennis Everett Herrera | 4772997 | 1 | 05/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kelly Erwin Hejtmancik | 4535262 | 2 | 05/30/2024 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Byron Kent Freeman | 2490710 | 4 | 05/30/2024 | Customer Dispute | Pending | $4,682,680.00 | $0.00 | See FINRA Report |
| Edward Philip Schuh | 6778484 | 1 | 05/30/2024 | Customer Dispute | Pending | $1,211,750.00 | $0.00 | See FINRA Report |