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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Marie Nesser | 1535393 | 1 | 10/09/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Todd Thomas Rohrer | 2140603 | 5 | 10/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent J Catalano | 5238819 | 2 | 09/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian C Kennedy | 2321416 | 9 | 09/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Kay Kendrot | 2298796 | 4 | 09/17/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Robert Matthew Krieger | 2441634 | 2 | 09/11/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Valdez | 2592276 | 14 | 08/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric V Sechman | 5237126 | 1 | 08/22/2018 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Bianca L White | 6074695 | 1 | 08/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Esperanza Padilla Gomez | 1386295 | 6 | 08/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |