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 |
|---|---|---|---|---|---|---|---|---|
| Kyle Joon Kim | 2446395 | 3 | 05/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carol Ann Goetsch | 1528051 | 1 | 12/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Reckner | 5114219 | 2 | 07/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rouse Lingle | 6592865 | 1 | 07/17/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard James Rugel | 3200986 | 1 | 05/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kyle Joon Kim | 2446395 | 3 | 01/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julia H Lin | 3222015 | 1 | 09/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan Michael Reckner | 5114219 | 2 | 08/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Jacobs | 256420 | 7 | 07/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Earl Pifer | 3254957 | 1 | 03/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |