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 |
|---|---|---|---|---|---|---|---|---|
| Greggory William Brant | 6255725 | 1 | 04/15/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Jerome Ferneding | 2165740 | 1 | 03/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Breland Kelly | 2306054 | 6 | 10/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Bernard McManus | 4275688 | 2 | 11/21/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Paul McCoy | 4855742 | 1 | 10/06/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Nicholas Michael Daddona | 5873532 | 1 | 06/24/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Kevin Stophel | 3195581 | 1 | 05/26/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Timothy Jonathan Poole | 4800886 | 2 | 04/02/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Breland Kelly | 2306054 | 6 | 12/16/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kaitlyn Marie Laney | 5931346 | 2 | 08/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |