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 |
---|---|---|---|---|---|---|---|---|
Nathaniel Royce Clay | 4525541 | 11 | 01/12/2023 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
Cooper James Morgenthau | 5815568 | 2 | 01/03/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Samuel Benjamin Bankman-Fried | 6204362 | 1 | 12/13/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Jeffrey Kenneth Galvani | 3048728 | 2 | 11/17/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Stuart A Jeffery | 5241790 | 1 | 11/17/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
William Stewart Carpenter | 1157630 | 2 | 11/02/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Coleigh Blaine McKay | 5095690 | 2 | 10/28/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Stephen Allen Schwarzman | 861435 | 4 | 10/07/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
James Lee Goldberg | 1433272 | 2 | 09/30/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
Stephen Lance Braverman | 1731936 | 12 | 09/30/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |