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 |
| Gavin Andrew Tolan | 2275071 | 4 | 12/29/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Victor Kent Sagouspe | 1140282 | 10 | 10/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick T Duffy | 5865307 | 2 | 10/12/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Thomas Studnicky | 1722691 | 7 | 08/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Adair Morris | 6253121 | 1 | 01/16/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kyle Jordan Gardner | 4824288 | 2 | 10/11/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Wacker | 3028507 | 2 | 07/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Kent Sagouspe | 1140282 | 10 | 04/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Kent Sagouspe | 1140282 | 10 | 03/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |