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 |
|---|---|---|---|---|---|---|---|---|
| Yu Yeung Li | 4810955 | 1 | 07/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick King | 5586602 | 1 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rose | 4842996 | 3 | 11/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Lewis Simms | 7333531 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rose | 4842996 | 3 | 02/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 10/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dragi Paunovski | 4464461 | 4 | 11/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martin William Padilla | 2442136 | 11 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Conley | 2765493 | 2 | 04/27/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Xavier Reilly | 2210571 | 1 | 07/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |