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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Francis Serrecchia | 1278517 | 1 | 05/14/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 10/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 05/08/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 01/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Otto Green | 2708678 | 1 | 11/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 01/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Janice B Graham | 2039382 | 1 | 05/14/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/03/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Barnes | 5258175 | 1 | 12/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 06/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |