Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 |
|---|---|---|---|---|---|---|---|---|
| Donald D Dalton | 3127243 | 1 | 10/20/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Christman | 6420254 | 1 | 10/13/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Rahner | 7124695 | 1 | 10/12/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Kanellopoulos | 7628980 | 1 | 10/10/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Ashley Leach | 7594185 | 2 | 10/05/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Kennedy | 7279616 | 1 | 09/25/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Ryan Webster | 4851749 | 1 | 08/17/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tracie L Mindel | 2827683 | 1 | 08/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Hilding Edwards | 6607230 | 1 | 08/05/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Daniel Hoffman | 5714047 | 1 | 08/03/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |