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 |
|---|---|---|---|---|---|---|---|---|
| Brady Hertel | 7008943 | 1 | 02/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Monahan Kuptz | 7202026 | 1 | 05/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Rammelkamp | 7301360 | 1 | 03/03/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Parker Ek | 6483825 | 1 | 05/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Pontello | 6572358 | 1 | 07/12/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danisha Gonzalez | 7023408 | 1 | 07/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cera Osborne | 6879593 | 1 | 04/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Sia | 6887569 | 1 | 03/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blaze Pascal Heuga | 6546011 | 1 | 04/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wade Michael Engebretson | 6655311 | 1 | 04/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |