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 |
|---|---|---|---|---|---|---|---|---|
| Carlos A Guzman | 6323925 | 1 | 04/30/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy James Hawkins | 5800637 | 1 | 04/30/2024 | Customer Dispute | Pending | $103,700,000.00 | $0.00 | See FINRA Report |
| Michael A Mauro | 5910550 | 1 | 04/30/2024 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Anthony Scott Desjardins | 6528916 | 1 | 04/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Eoghan Thomas Shields | 7405619 | 1 | 04/30/2024 | Customer Dispute | Pending | $103,700,000.00 | $0.00 | See FINRA Report |
| Joel Daniel Harworth | 3131373 | 4 | 04/30/2024 | Customer Dispute | Pending | $93,000.00 | $0.00 | See FINRA Report |
| Nabil Bouab | 4340284 | 8 | 04/30/2024 | Customer Dispute | Pending | $176,622.00 | $0.00 | See FINRA Report |
| Piers Cornelius | 4212172 | 1 | 04/30/2024 | Customer Dispute | Pending | $103,700,000.00 | $0.00 | See FINRA Report |
| Mitchell Ross Pindus | 1268550 | 4 | 04/30/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Garrett Wayne Moretz | 4086791 | 5 | 04/29/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |