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 |
|---|---|---|---|---|---|---|---|---|
| Richard Aloysius Finch | 5740372 | 1 | 10/04/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Allan McFeeley | 1478424 | 3 | 03/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Lynn Abraham | 1002352 | 1 | 10/26/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Allan McFeeley | 1478424 | 3 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ashish Khanna | 3228546 | 2 | 05/29/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Todd Ure | 3120531 | 1 | 07/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ashish Khanna | 3228546 | 2 | 05/05/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Mauldin | 1945566 | 1 | 05/22/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Martin Scannell | 1552763 | 4 | 08/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Martin Scannell | 1552763 | 4 | 04/27/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |