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 |
|---|---|---|---|---|---|---|---|---|
| Bridget Cary Baugh | 4733816 | 2 | 02/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ann Holland Stewart | 2388888 | 2 | 02/01/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 01/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Henry Parrish | 4818343 | 14 | 01/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Edmund Ferguson | 4668142 | 2 | 01/04/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Michael Dale Allen | 873728 | 4 | 12/15/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Ignatius Shaheen | 1506688 | 1 | 12/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Keith Williams | 705077 | 2 | 12/09/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 5 | 12/07/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Jason Orr | 6452058 | 1 | 12/03/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |