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 |
|---|---|---|---|---|---|---|---|---|
| Frank I-Min Wu | 1613789 | 2 | 01/25/2023 | Customer Dispute | Pending | $625,593.00 | $0.00 | See FINRA Report |
| Carol Ann Lemoult | 331681 | 1 | 01/25/2023 | Customer Dispute | Pending | $625,593.00 | $0.00 | See FINRA Report |
| Chay Lapin | 6275140 | 3 | 01/25/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alyssa Thornton | 6895519 | 2 | 01/24/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Randolph Miles Peters | 1472005 | 1 | 01/24/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Neal Richards | 5157291 | 4 | 01/24/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Craig Murchison McDaniel | 1087979 | 2 | 01/23/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Adam Thomas Marquardt | 5307192 | 7 | 01/23/2023 | Customer Dispute | Pending | $530,000.00 | $0.00 | See FINRA Report |
| Natalie M Barraza | 6126502 | 1 | 01/23/2023 | Customer Dispute | Pending | $78,503.00 | $0.00 | See FINRA Report |
| Daniel Joseph Cahill | 6456350 | 2 | 01/23/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |