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 |
|---|---|---|---|---|---|---|---|---|
| Scott Erik Aabel | 1493667 | 24 | 01/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Lee Kopp | 2939635 | 1 | 06/27/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Peter Colell | 50660 | 6 | 02/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 09/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Erik Aabel | 1493667 | 24 | 06/21/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 02/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas B Putnam | 5642801 | 1 | 12/14/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas Vandy | 4476750 | 2 | 07/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Erik Aabel | 1493667 | 24 | 06/29/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Xiaoyong Wang | 5336815 | 1 | 11/12/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |