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 |
|---|---|---|---|---|---|---|---|---|
| Yonglin Ren | 5210376 | 2 | 09/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Fortin | 2320006 | 1 | 08/30/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Alexander Patrick Kline | 1271785 | 10 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua George Cox | 6137037 | 2 | 08/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| W Stephen Jones | 867147 | 3 | 07/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Clinton Wayne Copeland | 2906272 | 2 | 07/16/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Lance Hocutt | 2948022 | 1 | 06/14/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Joseph Testa | 3152207 | 2 | 06/06/2024 | Customer Dispute | Denied | $604,000.00 | $0.00 | See FINRA Report |
| William Eric Bishoff | 2748073 | 1 | 05/29/2024 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Leo Wilbur McRae | 2359287 | 3 | 05/17/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |