Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mid-Market Securities, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Jason Scott Finkel | 3087636 | 2 | 08/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Cameron Walker | 1812527 | 1 | 02/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Scott Finkel | 3087636 | 2 | 09/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| R. Gregg Nourjian | 5924480 | 1 | 05/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Jared Foont | 210886 | 1 | 10/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |