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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Lynn Simms | 2693857 | 1 | 06/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ernest Anthony Cozzi | 1173200 | 5 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis Sirek | 5659487 | 2 | 12/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Gregory Hobbs | 5092184 | 2 | 11/14/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 10/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Dillon Rivers | 7753162 | 1 | 09/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory S Carroll | 6357759 | 3 | 08/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |