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 |
|---|---|---|---|---|---|---|---|---|
| Justin Duane Mundt | 5652696 | 2 | 05/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Reed Horace Smith | 2708938 | 1 | 05/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Madden | 7111913 | 1 | 05/21/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Leonard Whitaker | 1739854 | 10 | 05/21/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Parker Nitz | 1298437 | 2 | 05/21/2024 | Customer Dispute | Pending | $19,164.50 | $0.00 | See FINRA Report |
| James Michael Moriarity | 2263987 | 1 | 05/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Richard Sophia | 3222645 | 5 | 05/21/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Miguel R Correa Cestero | 2765420 | 13 | 05/21/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Brian Michael Sterz | 5333667 | 12 | 05/21/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Marco Bartolo Azizi | 2154719 | 7 | 05/20/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |