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 |
|---|---|---|---|---|---|---|---|---|
| Spencer Reed Huggett | 4538364 | 2 | 09/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Philip Turcotte | 1180997 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Clifford | 1677291 | 1 | 07/18/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Graves | 1398578 | 2 | 11/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lawrence Spielman | 2503634 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 03/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Russell Aiken | 1036253 | 2 | 01/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 10/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |