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 |
|---|---|---|---|---|---|---|---|---|
| Stephen T Tu | 5565787 | 2 | 06/19/2019 | Employment Separation After Allegations | $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 | |
| Lee Allen Nysted | 726033 | 3 | 08/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Dickey | 3256135 | 2 | 04/14/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tony Saemai | 5119801 | 2 | 07/10/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Noha Assad Schulze | 2842628 | 1 | 09/04/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Metviner | 1178560 | 4 | 04/03/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Ferris Jeung | 2690182 | 3 | 03/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Anderson | 1756026 | 5 | 01/27/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dean B Livingston | 1637728 | 18 | 07/13/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |