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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Lebauer | 2156800 | 16 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Lebauer | 2156800 | 16 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Lebauer | 2156800 | 16 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith D Lewandoski | 4234062 | 2 | 03/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith D Lewandoski | 4234062 | 2 | 03/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kari Ann McLeod | 6359510 | 2 | 02/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Waldron | 3268001 | 1 | 02/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 01/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Henry Parrish | 4818343 | 14 | 01/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Ignatius Shaheen | 1506688 | 1 | 12/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |