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 |
|---|---|---|---|---|---|---|---|---|
| Patrick T Duffy | 5865307 | 2 | 10/12/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerrold Steven Bergner | 2402897 | 2 | 09/03/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Wacker | 3028507 | 2 | 05/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rick Alan Meiss | 5174600 | 1 | 04/07/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Victor Kent Sagouspe | 1140282 | 10 | 02/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bobby Glenn James | 1311728 | 6 | 01/08/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glenn Frank Wilkinson | 2115646 | 3 | 03/05/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |