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 |
|---|---|---|---|---|---|---|---|---|
| Haiguang Yin | 3249933 | 3 | 04/16/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Scott Douglas Phillips | 1311907 | 6 | 04/16/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Donald Edward Wallace | 1471984 | 3 | 04/16/2024 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Davin J Carey | 5413012 | 2 | 04/16/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Andrew William Miles | 5986774 | 18 | 04/16/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Anthony Louis Petruccelli | 5699302 | 1 | 04/16/2024 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Eric Han | 5543197 | 1 | 04/16/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Monica Alicia Osborne | 3256608 | 1 | 04/16/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Richard Michael Blake | 1890793 | 1 | 04/16/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| John E Rietz | 2630099 | 2 | 04/16/2024 | Customer Dispute | Denied | $20,933.90 | $0.00 | See FINRA Report |