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 |
|---|---|---|---|---|---|---|---|---|
| Hector Robles | 5294849 | 1 | 10/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Robert Tait | 6000312 | 3 | 08/01/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Tait | 6000312 | 3 | 08/01/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Robert Swanson | 1244921 | 1 | 11/28/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Robert Tait | 6000312 | 3 | 04/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |