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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Robert Clapp | 4941909 | 1 | 08/05/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam William Paffenroth | 5375337 | 1 | 04/22/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Gard | 6681737 | 1 | 04/07/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cassandra N Heitz | 6171982 | 5 | 03/07/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Mark Pecha | 5579770 | 2 | 02/21/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Aaron Sutton | 7168581 | 3 | 02/06/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Kozloski | 5486167 | 3 | 02/01/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darleen Marie Lehmann | 7040978 | 1 | 01/09/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Fuller Barrett | 2640131 | 3 | 12/31/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Edwin Glaze | 5001233 | 2 | 12/29/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |