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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Michael Jones | 5148567 | 1 | 01/03/2017 | Customer Dispute | Settled | $5,279.85 | $0.00 | See FINRA Report |
| Nathaniel Joseph Workentine | 6237713 | 1 | 12/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Chau | 1331446 | 2 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Joseph Cumby | 1086868 | 1 | 11/10/2016 | Customer Dispute | Denied | $15,597.40 | $0.00 | See FINRA Report |
| Jonathan R Johnson | 4612570 | 1 | 11/09/2016 | Customer Dispute | Denied | $44,531.30 | $0.00 | See FINRA Report |
| Nicholas D Rogers | 4587206 | 1 | 10/18/2016 | Customer Dispute | Settled | $5,079.34 | $0.00 | See FINRA Report |
| Donald Edward Lippencott | 1235643 | 4 | 10/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Alan McCollum | 1673603 | 1 | 09/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luke Ferradj | 6277614 | 1 | 09/14/2016 | Customer Dispute | Denied | $10,135.70 | $0.00 | See FINRA Report |
| Alexander Shcharansky | 2679986 | 1 | 09/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |