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 |
|---|---|---|---|---|---|---|---|---|
| Esperanza Padilla Gomez | 1386295 | 6 | 08/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan Lebauer | 2156800 | 16 | 07/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lynn Coleman | 2516592 | 4 | 06/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramon Valdez | 2592276 | 14 | 06/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Aloysius Locke | 1980843 | 9 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kari Ann McLeod | 6359510 | 2 | 12/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Jonathan Harris | 3198253 | 1 | 12/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |