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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Patrick Fortin | 2320006 | 1 | 08/30/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Alexander Patrick Kline | 1271785 | 10 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| W Stephen Jones | 867147 | 3 | 07/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kent Reaves Herring | 5417262 | 2 | 05/06/2024 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Vincent J Catalano | 5238819 | 2 | 05/03/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Brian Raymond Russell Dreier | 2462344 | 1 | 04/08/2024 | Customer Dispute | Pending | $268,000.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 04/04/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 03/07/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| David Lloyd Kaiser | 2461995 | 1 | 02/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stevan Josef Hoffman | 4552883 | 1 | 02/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |