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 |
|---|---|---|---|---|---|---|---|---|
| John Tony Glowka | 1282251 | 1 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eladio Arturo Santiago | 3060628 | 3 | 08/21/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Sandra Marie Cummings | 2812581 | 7 | 08/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Lee Kunhardt | 1651471 | 3 | 08/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Aaron Frye | 2834795 | 9 | 08/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Henry Parrish | 4818343 | 14 | 08/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Stockwell | 6398497 | 4 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Marie Cummings | 2812581 | 7 | 07/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carla J Kesterson | 2338147 | 7 | 07/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 07/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |