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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Lockett | 4573162 | 4 | 11/10/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Lockett | 4573162 | 4 | 04/08/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Lockett | 4573162 | 4 | 11/12/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Lockett | 4573162 | 4 | 07/28/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |