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 |
| Stephen Jay Kaufman | 2386637 | 4 | 06/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory John Mistovich | 823724 | 3 | 07/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Theodore Johnson | 1861254 | 2 | 06/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frankie Ricardo Brin | 2555473 | 2 | 02/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Johnson | 1312422 | 6 | 04/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 04/23/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 11/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 06/02/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Taylor Valentine | 1646981 | 3 | 01/18/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |