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 |
|---|---|---|---|---|---|---|---|---|
| Davin J Carey | 5413012 | 2 | 04/16/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Davin J Carey | 5413012 | 2 | 01/23/2022 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Brian Timothy Stephens | 2777382 | 1 | 01/03/2021 | Customer Dispute | Settled | $351,000.00 | $0.00 | See FINRA Report |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Susan Winker Maline | 7678119 | 3 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Winker Maline | 7678119 | 3 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Winker Maline | 7678119 | 3 | 06/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Neal Robinson | 6285461 | 3 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniyal I Ahmed | 6810774 | 2 | 09/23/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |