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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Joy Baker | 6331988 | 1 | 06/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 06/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Gregory Bonal | 3125844 | 2 | 01/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Roy Blueweiss | 728969 | 9 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Gregory Bonal | 3125844 | 2 | 01/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Lawrence Cantor | 2881471 | 2 | 11/25/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Lawrence Cantor | 2881471 | 2 | 11/12/2013 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 10/29/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 10/07/2013 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 09/11/2013 | Customer Dispute | Closed-No Action | $199,000.00 | $0.00 | See FINRA Report |