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 |
|---|---|---|---|---|---|---|---|---|
| Jade Austin Thelin | 5645685 | 2 | 05/23/2016 | Customer Dispute | Settled | $30,258.50 | $0.00 | See FINRA Report |
| David Paul Brown | 1255624 | 3 | 04/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Richard Knight | 1241471 | 3 | 04/21/2016 | Customer Dispute | Denied | $30,690.00 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 04/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Tucciariello | 4477613 | 2 | 03/29/2016 | Customer Dispute | Settled | $9,193.84 | $0.00 | See FINRA Report |
| Thomas J Kanaley | 4299839 | 8 | 03/23/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Hoberman | 4299250 | 9 | 03/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian James Hankinson | 6776037 | 1 | 03/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark John Pratt | 1345655 | 1 | 02/25/2016 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| C Scott Rassler | 838660 | 1 | 02/19/2016 | Customer Dispute | Settled | $2,300,000.00 | $0.00 | See FINRA Report |