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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Kay Miller | 4175240 | 1 | 08/20/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stefan Marchut Lavallee | 3162652 | 5 | 03/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stefan Marchut Lavallee | 3162652 | 5 | 03/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stefan Marchut Lavallee | 3162652 | 5 | 08/24/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Saunders McCloud | 2770466 | 1 | 06/29/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randy R Moorehead | 4401484 | 1 | 10/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Alvah Cowen | 1964738 | 1 | 06/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rafael Sosa Matos | 2244039 | 2 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Sosa Matos | 2244039 | 2 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melina Trevino | 6126643 | 1 | 09/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |