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 |
|---|---|---|---|---|---|---|---|---|
| Cara Michelle Miller | 4521819 | 6 | 07/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Paul Siemonsma | 2172228 | 2 | 07/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Carl Welzel | 2065332 | 2 | 01/07/2022 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Vanessa I Jourdan | 6399539 | 1 | 08/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Kyle Taylor | 3260885 | 2 | 04/26/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Cara Michelle Miller | 4521819 | 6 | 05/18/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Antashe Katherine-Jessie Howard | 6871445 | 3 | 02/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore J Cardasis | 5374649 | 1 | 07/24/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Antashe Katherine-Jessie Howard | 6871445 | 3 | 05/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomson Klevens | 2125586 | 1 | 02/20/2019 | Customer Dispute | Settled | $8,865.00 | $0.00 | See FINRA Report |