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 |
|---|---|---|---|---|---|---|---|---|
| Arlo Bryan Sullivan | 2209899 | 3 | 03/21/2018 | Customer Dispute | Settled | $517,000.00 | $0.00 | See FINRA Report |
| Eugene Nathan Gordon | 4744448 | 4 | 02/02/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Lee Denney | 4751722 | 4 | 01/24/2018 | Customer Dispute | Closed-No Action | $21,900.00 | $0.00 | See FINRA Report |
| Andrew Lee Denney | 4751722 | 4 | 01/08/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Nathan Gordon | 4744448 | 4 | 10/27/2017 | Customer Dispute | Settled | $1,938,190.00 | $0.00 | See FINRA Report |
| Kyle Jones | 6506403 | 1 | 02/08/2017 | Customer Dispute | Denied | $8,657.06 | $0.00 | See FINRA Report |
| Wesley Ray Brown | 3251052 | 3 | 10/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Louis Cattaneo | 1102088 | 1 | 11/02/2015 | Customer Dispute | Denied | $98,566.20 | $0.00 | See FINRA Report |
| Andrew Lee Denney | 4751722 | 4 | 10/29/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amy Nicole Flach | 4937063 | 1 | 08/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |