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 |
|---|---|---|---|---|---|---|---|---|
| Brett David Shofner | 2723338 | 3 | 06/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Lawrence Lane | 5196009 | 2 | 01/21/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brad Richard Small | 3173556 | 2 | 01/04/2021 | Customer Dispute | Settled | $24,750.00 | $0.00 | See FINRA Report |
| Joseph Shawn McGuire | 4500913 | 2 | 11/16/2020 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Thomas James Finnegan | 1004425 | 1 | 09/09/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Adrian Evan Young | 4584675 | 2 | 05/13/2020 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Xavier Clemente Felipe | 2024428 | 1 | 03/12/2020 | Customer Dispute | Settled | $93,531.20 | $0.00 | See FINRA Report |
| Francis Paul Mitchell | 1334998 | 6 | 02/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Martin Knittle | 4090117 | 2 | 11/15/2019 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |
| John William Murphy | 1374449 | 2 | 09/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |