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 | |
| James Rouse Lingle | 6592865 | 1 | 07/17/2020 | Employment Separation After Allegations | $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 | |
| Thomas James Archer | 1002946 | 1 | 02/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Allen Jacobs | 256420 | 7 | 09/01/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip John Bucaro | 2171289 | 2 | 06/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edgar Alfred Morales | 1078765 | 2 | 07/18/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Igor A Zey | 1086097 | 7 | 09/14/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |