Our Staff has compiled our research into a database of FINRA Broker Disclosures for Nasdaq Capital Markets Advisory LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Kaplan | 5953575 | 1 | 12/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Dammers | 5242351 | 1 | 06/09/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jay Michael Gragnani | 6011089 | 1 | 10/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |