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 |
|---|---|---|---|---|---|---|---|---|
| Gregory S Carroll | 6357759 | 3 | 05/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 02/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis Sirek | 5659487 | 2 | 01/03/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory S Carroll | 6357759 | 3 | 12/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brady Edward Allen Lucyk | 6437162 | 1 | 08/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammara Marie Upton | 4846562 | 3 | 07/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew M Mahabadi | 6726029 | 2 | 12/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew M Mahabadi | 6726029 | 2 | 11/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sathesh Janaki | 5452880 | 2 | 09/06/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |