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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Margaret Peake | 4485099 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clifford Franklin Shnier | 6406109 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan A Guerrero | 4295408 | 1 | 10/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Susanne Demers | 5327883 | 1 | 10/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Schaum | 1099016 | 5 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |