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 |
|---|---|---|---|---|---|---|---|---|
| Heather Polly Johnson | 2303792 | 2 | 07/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bradley Fincher | 4168267 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Polly Johnson | 2303792 | 2 | 05/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sterling Tyler Moore | 2646859 | 1 | 10/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Duc Vu Nguyen | 4305388 | 1 | 09/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |