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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Jay Caruso | 2968696 | 2 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Kent van Allen | 4464706 | 3 | 03/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zachary Anson Moulton | 6485988 | 1 | 03/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Na Lynn | 2403227 | 1 | 03/10/2017 | Customer Dispute | Withdrawn | $9,000.00 | $0.00 | See FINRA Report |
| Richard Lee Turner | 1386078 | 2 | 03/07/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Eugene Russell | 1111895 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dave Lee Morris | 6178873 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Sussman | 7270699 | 1 | 02/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Harrison Burt | 2161151 | 1 | 02/09/2017 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Joshua Adam Parke | 2728146 | 5 | 02/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |