Our Staff has compiled our research into a database of FINRA Broker Disclosures for NI Advisors. 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 |
|---|---|---|---|---|---|---|---|---|
| John C Shen | 4859035 | 3 | 10/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hui Wen Qin | 4703845 | 1 | 05/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Hendrickus Franse | 1418012 | 8 | 04/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Milton J Beile III | 4265262 | 3 | 05/10/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |