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 |
|---|---|---|---|---|---|---|---|---|
| Abraham Barrera | 5734800 | 1 | 09/26/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Andrew P Wilson | 1978779 | 1 | 11/08/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Jordan Brown | 6534686 | 1 | 09/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Herman Breiter | 1716788 | 2 | 06/30/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kevin M O'Brien | 1866397 | 1 | 05/19/2022 | Customer Dispute | Settled | $50,713.00 | $0.00 | See FINRA Report |
| Shad Ketcher | 2684383 | 1 | 01/06/2022 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| James Dwight Hiles | 1268480 | 1 | 12/02/2021 | Customer Dispute | Award / Judgment | $150,000.00 | $150,000.00 | See FINRA Report |
| Brian Bedford | 4305320 | 2 | 04/23/2020 | Customer Dispute | Denied | $56,290.00 | $0.00 | See FINRA Report |
| Kenneth James Smith | 4351226 | 1 | 03/04/2020 | Customer Dispute | Denied | $197,844.00 | $0.00 | See FINRA Report |
| Kenneth Lynn | 2710101 | 1 | 01/03/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |