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 K Carrier | 5696242 | 2 | 11/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank E Hicks | 4958976 | 1 | 11/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Willis | 6159136 | 1 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd William Manning | 2293074 | 3 | 02/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Cruces | 2641065 | 2 | 06/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd William Manning | 2293074 | 3 | 05/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd William Manning | 2293074 | 3 | 03/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Rufus Lamb | 2545868 | 1 | 04/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John J Browne | 6688279 | 1 | 01/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley Daniel Stanek | 6267827 | 2 | 11/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |