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 Joseph Valenta | 1386978 | 7 | 07/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Aloysius Locke | 1980843 | 9 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Deboer | 5255990 | 2 | 07/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Douglas Lucas | 2242815 | 9 | 07/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ginger Burdette Fargas | 5860705 | 1 | 07/08/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shanna Joelle Reed | 4734752 | 3 | 07/01/2022 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 06/30/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valenta | 1386978 | 7 | 06/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly C Weaver | 4626548 | 1 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Beverly Antoinette Taite | 4125750 | 1 | 06/13/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |