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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Armando Fernandez | 3079602 | 6 | 06/02/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelli Anne Lyons-Stevens | 4032665 | 2 | 05/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Paul Mitchell | 1334998 | 6 | 05/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Dale Rothstein | 1553260 | 1 | 05/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Armando Fernandez | 3079602 | 6 | 04/21/2016 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Dustin Tylor Aiguier | 4872987 | 6 | 01/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelli Anne Lyons-Stevens | 4032665 | 2 | 01/05/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Davenport Wiswell | 2313243 | 4 | 12/30/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Tylor Aiguier | 4872987 | 6 | 12/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Ira Gilberg | 1037710 | 1 | 10/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |