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 |
|---|---|---|---|---|---|---|---|---|
| Joshua George Cox | 6137037 | 2 | 08/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zachary Allen Shepard | 6399643 | 1 | 03/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adam Ilung Kim | 2846317 | 1 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Mamoru Imamura | 2799537 | 1 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jay H Kim | 4317260 | 2 | 06/13/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yonglin Ren | 5210376 | 2 | 10/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean K Lewis | 4538252 | 2 | 02/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bridget Cary Baugh | 4733816 | 2 | 02/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bridget Cary Baugh | 4733816 | 2 | 02/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Dale Allen | 873728 | 4 | 12/15/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |