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 Aaron Hill | 4313224 | 6 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Ivar Grumdahl | 2303665 | 1 | 11/21/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bradley Robert Burton | 4465278 | 2 | 11/13/2017 | Customer Dispute | Denied | $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 |
| Simon John Ellis | 2766146 | 2 | 08/28/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gail Ann Kincannon | 1962679 | 4 | 07/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Mitchell Sause | 3275164 | 3 | 07/10/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Aaron Hill | 4313224 | 6 | 07/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Austin Russell Bustamante | 5479532 | 3 | 06/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |