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 |
|---|---|---|---|---|---|---|---|---|
| David Charles Levine | 2569418 | 2 | 05/31/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 04/07/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward Bond | 4658534 | 3 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Vincent Nelson | 2275929 | 2 | 01/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Roberts | 7061207 | 2 | 01/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Vincent Nelson | 2275929 | 2 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 06/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Joy Baker | 6331988 | 1 | 06/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth James New | 2836918 | 3 | 02/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |