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 |
|---|---|---|---|---|---|---|---|---|
| Gregory James Miller | 1043259 | 4 | 08/01/1984 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Gregory James Miller | 1043259 | 4 | 08/01/1984 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Robert Mihran Kargenian | 1038418 | 3 | 08/01/1984 | Customer Dispute | Settled | $15,506.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rory Frank Cantando | 835709 | 1 | 08/01/1984 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| James Matthew Hodges | 810265 | 3 | 08/01/1984 | Customer Dispute | Settled | $28,538.00 | $0.00 | See FINRA Report |
| Craig Lee Carson | 41892 | 23 | 08/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Scott Simoncic | 1062932 | 4 | 08/01/1984 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| William Theodore Spiropoulos | 856173 | 1 | 07/27/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |