Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Asset Financial Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Wayne Miller | 2342067 | 1 | 10/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Darren Kenneth Kearns | 1808898 | 1 | 07/23/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Thomas Allan Cosgrove | 1047934 | 5 | 02/18/2003 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert Lee Hamman | 827526 | 1 | 07/30/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Allan Cosgrove | 1047934 | 5 | 12/08/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Allan Cosgrove | 1047934 | 5 | 12/04/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Allan Cosgrove | 1047934 | 5 | 09/25/1987 | Customer Dispute | Settled | $39,000.00 | $0.00 | See FINRA Report |
| Thomas Allan Cosgrove | 1047934 | 5 | 09/18/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |