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 |
|---|---|---|---|---|---|---|---|---|
| Carla J Kesterson | 2338147 | 7 | 03/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan C Barker | 5643374 | 1 | 02/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane J Haley | 5409368 | 4 | 01/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Kyle Graham | 7264463 | 4 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Kyle Graham | 7264463 | 4 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Griffin | 1559004 | 3 | 10/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Thomas Rohrer | 2140603 | 5 | 10/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shanna Joelle Reed | 4734752 | 3 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |