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 | 03/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Wacker | 3028507 | 2 | 07/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bobby Glenn James | 1311728 | 6 | 11/14/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bobby Glenn James | 1311728 | 6 | 02/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |