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 |
|---|---|---|---|---|---|---|---|---|
| Michelle L Hassani | 5299394 | 3 | 10/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clinton Deshawn Ward | 4520678 | 1 | 01/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle L Hassani | 5299394 | 3 | 11/25/2019 | Judgment / Lien | $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 | |
| Michael Joseph Franzen | 4616701 | 2 | 07/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Nell | 5636277 | 2 | 04/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Lemar Henry | 6298832 | 4 | 04/01/2019 | Financial | Final | $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 | |
| Marlon Geroid Carter | 5488259 | 3 | 08/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Kevin Lee | 2003189 | 4 | 07/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |