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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Curtis Lawler | 1193477 | 6 | 07/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian James Megley | 2302308 | 5 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathryn A Frank | 4738039 | 2 | 07/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Travis Jerome Hughes | 1532177 | 7 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 07/05/2023 | Customer Dispute | Pending | $240,000.00 | $0.00 | See FINRA Report |
| Spencer Philip Warn | 6610487 | 1 | 06/30/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Moultrie | 2338702 | 1 | 06/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 06/29/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Scott Smith | 6134919 | 1 | 06/23/2023 | Customer Dispute | Denied | $32,382.70 | $0.00 | See FINRA Report |
| Edward Isaac Rosenblatt | 2658712 | 6 | 06/21/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |