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 |
|---|---|---|---|---|---|---|---|---|
| Allan Curtis Parlier | 4071709 | 1 | 10/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Doron Mehler | 6227827 | 2 | 01/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Junyuan Lin | 7358935 | 1 | 11/10/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Gerard Madden | 1924019 | 3 | 11/02/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew K Carrier | 5696242 | 2 | 11/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimsey Allen Hollifield | 5851037 | 1 | 09/15/2022 | Customer Dispute | Settled | $35,499.00 | $0.00 | See FINRA Report |
| Anita Louise Lester | 4478199 | 1 | 01/18/2022 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Frank E Hicks | 4958976 | 1 | 11/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miles Wesley Costin | 6644569 | 1 | 06/25/2021 | Customer Dispute | Settled | $177,534.00 | $0.00 | See FINRA Report |
| Mark Willis | 6159136 | 1 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |