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 |
|---|---|---|---|---|---|---|---|---|
| Brett Donald Mongeau | 6389983 | 1 | 08/03/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Michelle Lopez | 5132687 | 1 | 12/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jesse Espinoza | 4567929 | 1 | 11/29/2011 | Customer Dispute | Denied | $9,739.82 | $0.00 | See FINRA Report |
| Micah Malcolm Ballew | 6613040 | 1 | 01/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Pamperin | 5213367 | 1 | 08/12/2009 | Customer Dispute | Denied | $55,647.60 | $0.00 | See FINRA Report |
| Thomas Andrew Panoplos | 4454403 | 1 | 07/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Lussier | 2293739 | 1 | 05/26/2009 | Customer Dispute | Denied | $9,900.00 | $0.00 | See FINRA Report |
| Edward Joseph Brownstein | 4907060 | 1 | 04/22/2009 | Customer Dispute | Settled | $7,500.00 | $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 |