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 |
|---|---|---|---|---|---|---|---|---|
| Ramon Valdez | 2592276 | 14 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Kenneth Pennington | 2812020 | 1 | 09/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Reginald Kyle Graham | 7264463 | 4 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brock Joseph Brannon | 4712024 | 1 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Edward Martin | 1357741 | 6 | 08/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Esperanza Padilla Gomez | 1386295 | 6 | 07/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul R Garrett | 2803327 | 1 | 06/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Paul Mills | 2377835 | 1 | 05/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| August Paul Bugge | 4601943 | 1 | 05/19/2017 | Customer Dispute | Settled | $10,002.40 | $0.00 | See FINRA Report |
| Craig Dayton Couch | 5619612 | 1 | 05/18/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |