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 |
|---|---|---|---|---|---|---|---|---|
| Mark Vahala | 2549991 | 3 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aron Kent Scott | 6166794 | 2 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aron Kent Scott | 6166794 | 2 | 02/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luke Charles Finchem | 5017573 | 2 | 01/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Braccia | 2870936 | 1 | 12/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Aaron Hill | 4313224 | 6 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Seth J Bassin | 6143779 | 2 | 11/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Chau | 1331446 | 2 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Russell Bustamante | 5479532 | 3 | 06/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |