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 |
|---|---|---|---|---|---|---|---|---|
| Oscar Francis | 5094722 | 10 | 10/23/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Ernest Julius Romer | 2311741 | 50 | 09/01/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Ernest Julius Romer | 2311741 | 50 | 08/28/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Stephen Condon Peters | 4273459 | 8 | 07/12/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| William August Glaser | 1274847 | 7 | 06/27/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Rafael Golan | 1074079 | 16 | 06/26/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Oscar Francis | 5094722 | 10 | 04/21/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Christopher Todd Wendel | 1930870 | 12 | 04/21/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James Edward Moodhe | 1293136 | 4 | 04/04/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Avi Solomon Chiat | 3260141 | 5 | 03/27/2017 | Investigation | $0.00 | $0.00 | See FINRA Report |