Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Leo Bazile | 1400069 | 3 | 07/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leo Bazile | 1400069 | 3 | 05/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Renay Polite-Neilly | 4129378 | 1 | 04/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Glenn Thoresen | 4947776 | 2 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Glenn Thoresen | 4947776 | 2 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gail Annette Barnes | 4576929 | 2 | 07/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leo Bazile | 1400069 | 3 | 02/26/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Glen Louis Pallas | 2216766 | 1 | 12/01/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan Garera | 2766252 | 1 | 11/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Philip Hewko | 3158481 | 3 | 01/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |