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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Jose Herrero | 244068 | 2 | 07/09/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 07/07/2014 | Customer Dispute | Pending | $1,289,140.00 | $0.00 | See FINRA Report |
| Neeraj Roy Chaudhary | 5534232 | 5 | 06/21/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Charles Damsker | 2945474 | 9 | 06/18/2014 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| John Melvin Grooms | 1436211 | 4 | 06/18/2014 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Unis Pearl Davis | 1784136 | 1 | 06/09/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Alberto Costa | 1470308 | 2 | 06/06/2014 | Customer Dispute | Pending | $117,953.00 | $0.00 | See FINRA Report |
| Lee Dana Weiss | 2270372 | 9 | 06/05/2014 | Customer Dispute | Pending | $5,500,000.00 | $0.00 | See FINRA Report |
| Roberto Jose Pineda Castellvi | 4971653 | 29 | 05/29/2014 | Customer Dispute | Pending | $550,000.00 | $0.00 | See FINRA Report |
| James Fillmore Crawford | 1327638 | 5 | 05/19/2014 | Customer Dispute | Pending | $2,500,000.00 | $0.00 | See FINRA Report |