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 |
|---|---|---|---|---|---|---|---|---|
| David Paul Brown | 1255624 | 3 | 04/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy James Kattke | 1158141 | 1 | 11/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Diane Kaneski | 3214853 | 2 | 08/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sylvestre Beltran | 6125688 | 1 | 06/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence Lowell McCarthy | 6057698 | 3 | 05/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arin Moradian | 6148835 | 1 | 04/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Charles Loftin | 4031331 | 1 | 02/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Joseph Vlock | 828638 | 3 | 07/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rupp | 4784665 | 2 | 11/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darlene Joy Hathaway | 4584422 | 3 | 09/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |