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 |
|---|---|---|---|---|---|---|---|---|
| Pascal Nyame Asiedu | 6185338 | 1 | 04/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Michael Bruderman | 2673867 | 2 | 04/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Jon Walther | 2604600 | 3 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Jon Walther | 2604600 | 3 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kermit Roosevelt Griner | 1070425 | 9 | 04/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Kanaley | 4299839 | 8 | 03/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis R Farrar | 5660260 | 1 | 12/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erick Ian Buckley | 4695697 | 1 | 12/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kermit Roosevelt Griner | 1070425 | 9 | 03/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Pierre Manson | 5735488 | 6 | 03/12/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |