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 |
|---|---|---|---|---|---|---|---|---|
| Aubrey John Richard Elam | 7821360 | 1 | 03/15/2019 | Criminal | Final Disposition | $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 | |
| Jerry Charles Adam | 2014689 | 1 | 01/29/2019 | Customer Dispute | Settled | $2,646,780.00 | $0.00 | See FINRA Report |
| James Allen Jacobs | 256420 | 7 | 09/01/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Alan Zirbes | 1125278 | 3 | 08/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Igor A Zey | 1086097 | 7 | 05/31/2018 | Customer Dispute | Award / Judgment | $0.00 | $87,500.00 | See FINRA Report |
| Alexander Andreyevich Nikolenko | 3173647 | 2 | 05/31/2018 | Customer Dispute | Award / Judgment | $0.00 | $87,500.00 | See FINRA Report |
| Robert D Amoruso | 5683752 | 2 | 03/17/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Alan Zirbes | 1125278 | 3 | 02/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Jacobs | 256420 | 7 | 10/21/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |