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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Marek Plumb | 4598158 | 5 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Marek Plumb | 4598158 | 5 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Marek Plumb | 4598158 | 5 | 09/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nathan Marek Plumb | 4598158 | 5 | 09/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nathan Marek Plumb | 4598158 | 5 | 08/26/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerald Plumb | 1732830 | 1 | 03/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |