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 |
|---|---|---|---|---|---|---|---|---|
| Darin Matthew Ely | 2767198 | 1 | 04/29/2024 | Customer Dispute | Denied | $15,666.20 | $0.00 | See FINRA Report |
| Brandon Scott Rhodes | 4842048 | 1 | 04/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Arthur Perryman | 2019969 | 6 | 04/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Berrocal | 3071400 | 7 | 04/29/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| John Prokos | 1553091 | 2 | 04/29/2024 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Barbara Ann Clark | 2953534 | 1 | 04/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harrison Chi Chang | 4183646 | 1 | 04/29/2024 | Customer Dispute | Pending | $550,000.00 | $0.00 | See FINRA Report |
| Luis Manuel Larios | 2687585 | 2 | 04/29/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 19 | 04/29/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Lawrence J Nagel | 3040736 | 3 | 04/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |