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 |
|---|---|---|---|---|---|---|---|---|
| Jon I Lerner | 2275959 | 3 | 08/13/2014 | Customer Dispute | Pending | $20,192.50 | $0.00 | See FINRA Report |
| Robert Collins Noe | 717780 | 5 | 07/30/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Joseph Temple | 1139897 | 4 | 07/29/2014 | Customer Dispute | Pending | $5,500,000.00 | $0.00 | See FINRA Report |
| Cesar Manuel Gandiaga | 1795362 | 4 | 07/25/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Lee Hutchinson | 2055616 | 22 | 07/23/2014 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Robert Alden Cannon | 2765289 | 3 | 07/22/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Martin Barry Strudwick | 2201523 | 9 | 07/18/2014 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| James Keith Cox | 2365633 | 6 | 07/17/2014 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Thomas J Y Lin | 1568598 | 1 | 07/10/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie Charles Highley | 1435889 | 10 | 07/10/2014 | Customer Dispute | Pending | $6,977,170.00 | $0.00 | See FINRA Report |