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 | 11/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Feisal Ahmed Khan Malik | 2115832 | 3 | 10/03/2019 | Financial | Final | $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 | |
| Scott Erik Aabel | 1493667 | 24 | 07/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip James Fluegge | 1020686 | 2 | 11/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lloyd Blisk | 2155652 | 1 | 05/30/2017 | Customer Dispute | Award / Judgment | $22,000,000.00 | $3,000,000.00 | See FINRA Report |
| Darren Christopher Port | 4911903 | 1 | 04/27/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Feisal Ahmed Khan Malik | 2115832 | 3 | 09/30/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Erik Aabel | 1493667 | 24 | 09/16/2016 | Regulatory | Final | $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 |