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 |
|---|---|---|---|---|---|---|---|---|
| Walton Worth Rogers | 1228957 | 1 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Andrew Moro | 1235680 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph M Garrel | 5720656 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexa Sider Pao | 5675301 | 1 | 07/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 04/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Lynn Wilson | 2452141 | 1 | 04/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Angelo Auteri | 2390615 | 9 | 02/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Angelo Auteri | 2390615 | 9 | 01/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wai Man Luk | 5730295 | 1 | 11/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eve Marie Brewer | 7426569 | 1 | 08/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |