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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth John Arellano | 2660786 | 4 | 10/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Gregory Hawkins | 1211621 | 6 | 08/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Gregory Hawkins | 1211621 | 6 | 09/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Gregory Hawkins | 1211621 | 6 | 08/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Jerry Fava | 4286445 | 2 | 10/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Todd Walker | 2368039 | 4 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Michael Zukowski | 2096843 | 1 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Steven Litras | 1908454 | 2 | 10/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Ann Bochert | 6641574 | 1 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward McClure | 2289844 | 4 | 12/11/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |