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 |
|---|---|---|---|---|---|---|---|---|
| Harry Appel | 5915532 | 2 | 04/03/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patricia Ivonne Bergman | 3267615 | 2 | 04/03/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Laura Elizabeth Johnson | 3244706 | 1 | 12/12/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edwin Keith Jones | 2102554 | 1 | 11/15/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cindy Shu-Way Shi | 4231195 | 1 | 06/12/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Glen Newbury | 1890435 | 4 | 05/04/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Marie Wright | 1892779 | 3 | 03/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Constance Ann Erickson | 3086455 | 1 | 03/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Patrick Kline | 1271785 | 10 | 11/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dreama Ann Long | 1828420 | 1 | 09/14/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |