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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Lloyd Smelser | 2338831 | 2 | 01/14/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Duane J Haley | 5409368 | 4 | 01/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc A Lopresti | 5248924 | 2 | 12/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Reginald Kyle Graham | 7264463 | 4 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Kyle Graham | 7264463 | 4 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sagar Ramesh Patel | 5058797 | 5 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garry Charles Hill | 2442412 | 2 | 11/08/2018 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Stanley Leonard Zurawski | 2365017 | 3 | 10/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Griffin | 1559004 | 3 | 10/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Turner | 1386078 | 2 | 10/10/2018 | Customer Dispute | Denied | $23,065.00 | $0.00 | See FINRA Report |