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 |
|---|---|---|---|---|---|---|---|---|
| Orlando Cipriano Fernandez | 1980142 | 2 | 12/28/2009 | Customer Dispute | Withdrawn | $56,500.00 | $0.00 | See FINRA Report |
| John Bryan Philpott | 4758501 | 7 | 12/21/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew Naniola Pavich | 1253114 | 7 | 12/15/2009 | Customer Dispute | Withdrawn | $10,900.00 | $0.00 | See FINRA Report |
| Ron Allen Purvines | 1712228 | 6 | 12/15/2009 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Gerardo Ivan Castillo | 2886319 | 2 | 12/15/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Ralph Chip Johnson | 1840846 | 4 | 12/14/2009 | Customer Dispute | Withdrawn | $35,000.00 | $0.00 | See FINRA Report |
| Christopher Laurence Reetz | 1779546 | 1 | 12/10/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Germain | 1332758 | 6 | 12/02/2009 | Customer Dispute | Withdrawn | $415,000.00 | $0.00 | See FINRA Report |
| Jorge Armando Morales | 4485239 | 1 | 12/01/2009 | Customer Dispute | Withdrawn | $8,490.00 | $0.00 | See FINRA Report |
| Paul Ernest Hebert | 2733394 | 1 | 11/30/2009 | Customer Dispute | Withdrawn | $180,691.00 | $0.00 | See FINRA Report |