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 |
|---|---|---|---|---|---|---|---|---|
| Joao M Valente | 2867139 | 1 | 10/13/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathryn A Frank | 4738039 | 2 | 04/30/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Ty Smith | 7266746 | 2 | 04/27/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Logan Matthew Tillmon | 7539281 | 1 | 03/29/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Ty Smith | 7266746 | 2 | 02/23/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David L Whiteside | 6051308 | 1 | 10/15/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Graham Low | 7232968 | 1 | 01/24/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Labri | 2581719 | 1 | 08/02/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carter Jon Amundson | 7330044 | 1 | 10/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fei Yi Wang | 5899211 | 2 | 09/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |