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 |
|---|---|---|---|---|---|---|---|---|
| Brian C Kennedy | 2321416 | 9 | 03/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jesse Cordoba | 7536667 | 2 | 03/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick David Orr | 1140207 | 1 | 03/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rickey Bowen | 2837377 | 4 | 02/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Cordoba | 7536667 | 2 | 02/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Marie Cummings | 2812581 | 7 | 02/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peggy Jean Girard | 4405410 | 2 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Menicucci | 6308217 | 1 | 01/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Henry Parrish | 4818343 | 14 | 01/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Anne Cox | 7026177 | 1 | 01/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |