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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Marie Cummings | 2812581 | 7 | 02/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peggy Jean Girard | 4405410 | 2 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Anne Cox | 7026177 | 1 | 01/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Aaron Frye | 2834795 | 9 | 12/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 11/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Dominic Cooper | 4654264 | 7 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald Bryan Sultzbach | 2752494 | 1 | 10/05/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arthur Martinez Mojares | 4969362 | 2 | 09/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Douglas Lucas | 2242815 | 9 | 08/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Henry Parrish | 4818343 | 14 | 08/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |