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 |
|---|---|---|---|---|---|---|---|---|
| Randell James Ogden | 2019815 | 1 | 04/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Aloysius Locke | 1980843 | 9 | 04/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Matthew Mitcham | 5481389 | 2 | 04/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jordan Alva Rodriguez | 6651428 | 1 | 04/06/2023 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Reuben Lewis | 4145362 | 1 | 03/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alex William Osmond | 6099873 | 1 | 03/29/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isidore R Ogoussan | 5844430 | 1 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Ercole | 6391100 | 1 | 03/13/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Gerard Cangelose | 1739268 | 1 | 03/09/2023 | Customer Dispute | Denied | $17,289.00 | $0.00 | See FINRA Report |
| Glen Edward Viditz-Ward | 1986586 | 1 | 03/06/2023 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |