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 |
|---|---|---|---|---|---|---|---|---|
| David Lee Kopp | 2939635 | 1 | 06/27/2023 | Employment Separation After Allegations | $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 | |
| Xiaoyong Wang | 5336815 | 1 | 11/12/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Russell Lloyd | 1995407 | 3 | 06/27/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Darren Christopher Port | 4911903 | 1 | 04/27/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip James Fluegge | 1020686 | 2 | 08/19/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Feisal Ahmed Khan Malik | 2115832 | 3 | 01/20/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael David Erbaio | 2902183 | 2 | 07/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael David Erbaio | 2902183 | 2 | 07/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Albert Urovsky | 1806732 | 6 | 08/25/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |