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 |
|---|---|---|---|---|---|---|---|---|
| Jason Lee Seale | 1874548 | 10 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen T Tu | 5565787 | 2 | 06/19/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee Seale | 1874548 | 10 | 05/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 12/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 10/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 10/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee Seale | 1874548 | 10 | 09/08/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee Seale | 1874548 | 10 | 07/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Dowd | 1272134 | 2 | 06/13/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen T Tu | 5565787 | 2 | 02/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |