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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin R Pfiffner | 5420001 | 2 | 09/27/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Bryce Vanclef | 5096529 | 9 | 02/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scot Barringer | 1385168 | 8 | 10/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristopher Charles Kessler | 4543640 | 2 | 12/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Bryce Vanclef | 5096529 | 9 | 03/11/2014 | Customer Dispute | Settled | $959,366.00 | $0.00 | See FINRA Report |
| Jason Bryce Vanclef | 5096529 | 9 | 10/25/2013 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Scot Barringer | 1385168 | 8 | 10/09/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jason Bryce Vanclef | 5096529 | 9 | 03/28/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Diprimio | 5703368 | 1 | 03/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Bryce Vanclef | 5096529 | 9 | 01/28/2013 | Customer Dispute | Settled | $892,745.00 | $0.00 | See FINRA Report |