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 |
|---|---|---|---|---|---|---|---|---|
| Sean K Lewis | 4538252 | 2 | 05/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Michael Hurley | 5817890 | 1 | 04/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carla J Kesterson | 2338147 | 7 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Dean Queen | 851743 | 2 | 04/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Marie Cummings | 2812581 | 7 | 04/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Anthony Mezzullo | 333445 | 12 | 04/06/2018 | Customer Dispute | Denied | $348,000.00 | $0.00 | See FINRA Report |
| Alan Lee Supp | 2702624 | 2 | 03/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terry Lynn Haines | 2266512 | 1 | 03/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |