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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Edward Sullivan | 1250829 | 3 | 01/05/2022 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Alyssa Jeanette Fiumano | 3003477 | 2 | 11/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Robin Riser Whitlock | 5287262 | 1 | 01/03/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher William Habedank | 6135571 | 1 | 12/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alyssa Jeanette Fiumano | 3003477 | 2 | 10/09/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Edward Sullivan | 1250829 | 3 | 10/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Monique B Harris | 2936852 | 1 | 07/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas B Sanchez | 2437504 | 1 | 06/12/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Edward Sullivan | 1250829 | 3 | 09/01/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |