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 |
|---|---|---|---|---|---|---|---|---|
| Jay H Kim | 4317260 | 2 | 06/13/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Fair Paull | 2968273 | 11 | 06/09/2022 | Customer Dispute | Settled | $97,953.00 | $0.00 | See FINRA Report |
| Phillip Oxford Sherrill | 1160379 | 7 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Michael Fay | 2083701 | 1 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathanael C Downs | 5833891 | 1 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Alan Strajack | 2478705 | 1 | 05/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valenta | 1386978 | 7 | 05/02/2022 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Stephen Douglas Lucas | 2242815 | 9 | 04/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amanda Renee Munselle | 5915269 | 1 | 04/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 04/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |