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 |
|---|---|---|---|---|---|---|---|---|
| James Bernard Plummer | 4634793 | 2 | 05/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 04/28/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 03/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lau | 4567411 | 2 | 11/18/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 4 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |