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 |
|---|---|---|---|---|---|---|---|---|
| Justin Pike | 7259133 | 1 | 06/22/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aradhana Verma | 4914743 | 1 | 06/02/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Lemar Henry | 6298832 | 4 | 05/24/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Lynn Disrud | 3095068 | 1 | 07/14/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith T Lohm | 1516728 | 1 | 10/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Niki Renee Gray | 4526604 | 2 | 11/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Brian Swift McDonough | 6257890 | 1 | 01/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carol L Bendik | 2129466 | 2 | 06/25/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Nell | 5636277 | 2 | 03/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wayne Christopher Klatt | 1865145 | 1 | 11/02/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |