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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Lebauer | 2156800 | 16 | 05/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph S Silva | 5297637 | 2 | 05/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Edward Wegner | 2044977 | 3 | 05/21/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| April Beasley Booth | 4482025 | 1 | 05/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Dominic Cooper | 4654264 | 7 | 05/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Aloysius Locke | 1980843 | 9 | 04/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Douglas Lucas | 2242815 | 9 | 04/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carla J Kesterson | 2338147 | 7 | 04/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Aaron Frye | 2834795 | 9 | 04/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Aaron Frye | 2834795 | 9 | 04/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |