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 |
|---|---|---|---|---|---|---|---|---|
| David Matthew Frings | 5517923 | 1 | 01/23/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Willard Rostykus | 5818368 | 1 | 09/28/2023 | Customer Dispute | Pending | $219,128.00 | $0.00 | See FINRA Report |
| Wesley Ray Brown | 3251052 | 3 | 01/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Pace McConkie | 6092544 | 3 | 08/03/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Neal Bateman | 4022892 | 1 | 05/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eugene Nathan Gordon | 4744448 | 4 | 04/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Nathan Gordon | 4744448 | 4 | 11/27/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Pace McConkie | 6092544 | 3 | 07/18/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Pace McConkie | 6092544 | 3 | 04/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Lee Denney | 4751722 | 4 | 05/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |