Our Staff has compiled our research into a database of FINRA Broker Disclosures for Apex Clearing Corporation. 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 |
|---|---|---|---|---|---|---|---|---|
| William Joseph Pena | 4987341 | 1 | 04/15/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tara Williams | 6685174 | 2 | 10/28/2015 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Lindsey Alan Wetzig | 4178111 | 1 | 05/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Ryan Martell-Wavomba | 6188517 | 1 | 09/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Cleary | 2280797 | 1 | 03/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Xochitl Alatorre | 2563182 | 1 | 04/25/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacqueline Marie Davis | 5306604 | 1 | 02/18/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Tana Ficklin | 6566364 | 3 | 03/30/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Michael Gillen | 1507459 | 1 | 05/15/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |