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 |
|---|---|---|---|---|---|---|---|---|
| Marina McCleneghen Glavota | 4270120 | 6 | 12/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lorenzo Bausley | 2608768 | 1 | 10/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond H Bovich | 1501542 | 8 | 09/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Horsman | 7774135 | 1 | 09/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Carter | 3168801 | 1 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Silva | 2846524 | 1 | 07/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Lee Tippin | 7622600 | 1 | 07/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin Burton | 2296027 | 1 | 07/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |