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 |
|---|---|---|---|---|---|---|---|---|
| Deborah Ann Birch | 4043371 | 1 | 06/08/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Mitchell Robert Janoff | 3272485 | 2 | 06/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian C Kennedy | 2321416 | 9 | 05/30/2023 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 5 | 05/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Ilung Kim | 2846317 | 1 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Mamoru Imamura | 2799537 | 1 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Wynn Regitz | 1283719 | 2 | 05/16/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt Douglas Cambier | 1392482 | 3 | 05/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Ohlmeyer | 7309159 | 1 | 05/02/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Floyd Thomas Bernard | 823407 | 1 | 05/02/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |