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 |
| Roshan A Loungani | 4256993 | 5 | 06/07/2016 | Regulatory | 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 |
| Merlin Earl Ames | 5039655 | 4 | 06/07/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Charles Levine | 2569418 | 2 | 04/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Clayton Conner | 1061074 | 1 | 12/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 06/03/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |