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 |
|---|---|---|---|---|---|---|---|---|
| James Donald Koester | 4454750 | 2 | 01/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Doron Mehler | 6227827 | 2 | 01/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Donald Koester | 4454750 | 2 | 05/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Charlson McNamara Musil | 603569 | 2 | 04/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Swerdlow | 2200615 | 1 | 01/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Bryan Daney | 6769388 | 1 | 12/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Gerberding | 7703708 | 1 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Gunderson | 2672397 | 3 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nolan James Goslee | 6427244 | 2 | 11/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nolan James Goslee | 6427244 | 2 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |