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 |
|---|---|---|---|---|---|---|---|---|
| Bret Alexander Hartman | 4502046 | 3 | 05/21/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Augustus Bowers | 5289266 | 1 | 07/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Charles Sines | 2190586 | 6 | 07/23/2019 | Customer Dispute | Closed-No Action | $38,651.90 | $0.00 | See FINRA Report |
| James Dale Peters | 5734019 | 1 | 03/04/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 01/28/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 08/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Weinbauer | 2714070 | 4 | 04/20/2018 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 12/08/2017 | Customer Dispute | Settled | $19,250.00 | $0.00 | See FINRA Report |
| William Charles Sines | 2190586 | 6 | 11/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pyne | 2580510 | 8 | 07/06/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |