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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Bryan Sultzbach | 2752494 | 1 | 10/05/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyler James Miller | 6190067 | 2 | 09/28/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Martinez Mojares | 4969362 | 2 | 09/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander Patrick Kline | 1271785 | 10 | 09/15/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Dee Crabtree | 5060519 | 1 | 09/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Felix Dublis | 1080504 | 2 | 09/09/2021 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Mark Houston Mitchell | 2217342 | 1 | 08/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Douglas Lucas | 2242815 | 9 | 08/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Henry Parrish | 4818343 | 14 | 08/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peggy Jean Girard | 4405410 | 2 | 08/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |