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 |
|---|---|---|---|---|---|---|---|---|
| David Gregory Oblock | 1440692 | 1 | 05/08/2024 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 05/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander Patrick Kline | 1271785 | 10 | 05/07/2024 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Kent Reaves Herring | 5417262 | 2 | 05/06/2024 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Vincent J Catalano | 5238819 | 2 | 05/03/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Leo Wilbur McRae | 2359287 | 3 | 04/18/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua George Cox | 6137037 | 2 | 04/11/2024 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Janice Marie Johnson | 3220679 | 1 | 04/10/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Brian Raymond Russell Dreier | 2462344 | 1 | 04/08/2024 | Customer Dispute | Pending | $268,000.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 04/04/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |