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 |
|---|---|---|---|---|---|---|---|---|
| Michael Gordon Stockman | 3276621 | 1 | 08/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 08/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Lee Kunhardt | 1651471 | 3 | 08/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Aaron Frye | 2834795 | 9 | 08/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 07/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 07/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 07/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Scott Harris | 2998471 | 1 | 07/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Henry Parrish | 4818343 | 14 | 06/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Edward Dear | 1079490 | 7 | 06/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |