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 |
|---|---|---|---|---|---|---|---|---|
| Nan Solt Lesnick | 832364 | 2 | 05/08/2003 | Customer Dispute | Settled | $147,657.00 | $0.00 | See FINRA Report |
| Dennis James Sikorski | 1061580 | 1 | 07/19/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Deanna Lynn Holmes | 3237369 | 1 | 03/09/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Scott Hermann | 6237188 | 1 | 07/04/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Simon Binghui Mo | 2292637 | 1 | 12/02/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |