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 |
|---|---|---|---|---|---|---|---|---|
| Daniyal I Ahmed | 6810774 | 2 | 01/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Tepastte | 7454936 | 1 | 10/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Salvatore Di Fazio | 4608571 | 1 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tonya Gay Fulcher | 2356493 | 1 | 04/18/2014 | Customer Dispute | Closed-No Action | $76,205.90 | $0.00 | See FINRA Report |
| Nicholas Barnes | 5258175 | 1 | 12/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zach Josef van Sambeek | 7686976 | 1 | 07/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marcia Marian Lewis | 4333569 | 1 | 10/18/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ruth Ellen Goran | 3241313 | 1 | 08/16/1989 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |