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 |
|---|---|---|---|---|---|---|---|---|
| Robert Allan Palma | 6117326 | 1 | 01/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kurt Douglas Cambier | 1392482 | 3 | 12/31/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Jeffrey Aaron Frye | 2834795 | 9 | 12/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald Morris Kowalsky | 274546 | 4 | 12/03/2021 | Customer Dispute | Pending | $52,000.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 11/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Henry Parrish | 4818343 | 14 | 10/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yonglin Ren | 5210376 | 2 | 10/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Jacob Lydecker | 314901 | 1 | 10/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Dominic Cooper | 4654264 | 7 | 10/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William A Fochi | 1773450 | 5 | 10/06/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |