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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Adam Barrack | 1393944 | 5 | 04/15/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Norman Hale Blake | 873703 | 5 | 04/15/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Sean Haig | 2517717 | 4 | 04/13/2009 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Stanley Greenwald | 5451789 | 1 | 04/09/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Ralby | 1301072 | 12 | 04/08/2009 | Customer Dispute | Pending | $728,419.00 | $0.00 | See FINRA Report |
| Raymond Albert Deragon | 2932463 | 10 | 04/04/2009 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Miguel Rafael Valdez | 3147525 | 4 | 04/02/2009 | Customer Dispute | Pending | $300,729.00 | $0.00 | See FINRA Report |
| Peter Vargas | 2878497 | 5 | 03/31/2009 | Customer Dispute | Pending | $2,622,530.00 | $0.00 | See FINRA Report |
| Miguel Rafael Valdez | 3147525 | 4 | 03/26/2009 | Customer Dispute | Pending | $136,490.00 | $0.00 | See FINRA Report |
| Robert Otis Lenoir | 1499588 | 2 | 03/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |