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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Froemming | 6288745 | 1 | 01/23/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Khoa Dang Hoang | 5847337 | 5 | 05/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather Diane Ponsano | 6016516 | 4 | 12/21/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Heather Diane Ponsano | 6016516 | 4 | 10/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Charles Weatherly | 6484237 | 2 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corey Owen | 5314153 | 2 | 03/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randal Baker Nesmith | 2295975 | 1 | 09/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather Diane Ponsano | 6016516 | 4 | 06/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Charles Weatherly | 6484237 | 2 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ian Millman | 2804395 | 2 | 01/17/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |