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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Courtland Ransone | 4008306 | 10 | 05/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Seth P Cecil | 5824914 | 1 | 05/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Marc Abbate | 2212336 | 2 | 04/26/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Dana Miller | 1141401 | 4 | 04/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 01/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yamara M Beck | 5464486 | 1 | 10/13/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 09/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Courtland Ransone | 4008306 | 10 | 06/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Jacob Clark | 2233878 | 1 | 05/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Courtland Ransone | 4008306 | 10 | 03/30/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |