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 |
|---|---|---|---|---|---|---|---|---|
| Randall Phillip Hallier | 2405471 | 1 | 12/20/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Cummings | 4726478 | 2 | 03/28/2018 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Aaron Scott Buczek | 2838281 | 2 | 10/17/2016 | Customer Dispute | Denied | $3,000,000.00 | $0.00 | See FINRA Report |
| Jesse Espinoza | 4567929 | 1 | 11/29/2011 | Customer Dispute | Denied | $9,739.82 | $0.00 | See FINRA Report |
| Lisa Marie Pamperin | 5213367 | 1 | 08/12/2009 | Customer Dispute | Denied | $55,647.60 | $0.00 | See FINRA Report |
| Joseph Michael Lussier | 2293739 | 1 | 05/26/2009 | Customer Dispute | Denied | $9,900.00 | $0.00 | See FINRA Report |
| Anthony David Favela | 5165413 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Lemuel Andrews | 4209537 | 1 | 11/19/2008 | Customer Dispute | Denied | $762,000.00 | $0.00 | See FINRA Report |
| Clayton Alexander Baker | 4845961 | 2 | 11/19/2008 | Customer Dispute | Denied | $25,500.00 | $0.00 | See FINRA Report |
| Stephen Robert Walsh | 1856275 | 1 | 09/02/2008 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |