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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Richard Alan Hoberman | 4299250 | 9 | 04/30/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Curtis Medairy | 1219555 | 4 | 04/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis George Poulos | 1113259 | 5 | 03/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dean Charles Loftin | 4031331 | 1 | 02/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alison Joy Flaum | 2951500 | 3 | 01/30/2013 | Customer Dispute | Settled | $6,701.59 | $0.00 | See FINRA Report |
| Ryan Michael Behm | 4757111 | 1 | 01/07/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Michael Grey | 1219283 | 1 | 12/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric J Brisebois | 4160820 | 4 | 12/07/2012 | Customer Dispute | Settled | $24,904.20 | $0.00 | See FINRA Report |